Monday, March 12, 2007

Senate evaluates taxes of private equity, hedge fund managers

Senate evaluates taxes of private equity, hedge fund managers

The Senate Finance Committee is reviewing the tax structures for private-equity partners and hedge fund managers in an effort to quell tax avoidance. According to a senior aide, "we are looking into instances where funds may be using tax strategies to convert what would be income into capital gains for tax advantage."

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tax, hedge fund, account managers, investments, risk, compliance, IRS, tax law

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Fraud ring prompts concerns on Wall Street

Fraud ring prompts concerns on Wall Street:

The accusation that more than a dozen people were involved in a fraud ring on Wall Street illustrates why regulators and lawmakers are concerned about the Street's relationship with hedge funds. "Incidents like this strengthen the hands of those who are urging greater scrutiny of hedge-fund activities and their sources of information," said a former SEC general counsel now in private practice.

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hedge funds, risk, fraud, compliance, insider trading, regulation, SEC

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Friday, March 09, 2007

A Risk-Based Approach to Compliance

"A Risk-Based Approach to Compliance - Cut Costs and Evaluate Fewer Controls"

Sign-up to learn how organizations can achieve optimal compliance levels, cut costs and evaluate fewer controls using a risk-based approach. For more information on how to register for this webcast, click here.

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compliance, regulatory risk, market risk, settlement risk, operational risk, audit

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Regulatory Intelligence Compliance Risk Consulting

Regulatory Intelligence Compliance Risk Consulting
founded by former NYSE Securities Regulators

Regulatory Intelligence provides customized consulting services and offers an all inclusive web-based Branch Audit software program which can be utilized by your firm's audit group. This program mirrors the current regulatory audits and additional features (written procedures and corresponding Regulatory Rules) enable this product to also function as a training tool.

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risk management, compliance, business systems

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