Carl Ayers
No regulatory issue blazes hotter for private equity fund advisers than fees and expenses (IA Watch, Oct. 7, 2015). Now a group of institutional investors ...
Regulators have stated diligent CCOs need not worry about being named in an enforcement case. Here are three recent FINRA cases involving CCOs that target ...
That recent SEC settlement with Blackstone over uneven legal fees features two parties (IA Watch, Oct. 7, 2015). The other was an unidentified law firm. ...
A peer has contributed this example of a policy and procedure, as well as a segment of the firm's compliance manual, that deals with the ...
This Excel file provides a data sheet illustrating the elements per client that SEC examiners often request. It's been described as a best practice for exams ...
The Department of Justice announced today that it is dismissing insider trading charges against seven defendants, some who had pled guilty – all as a ...
Several “first-of-their-kind” cases. Whistleblower payments totaling $38 million. Victories in all six federal trials launched. More than 800 enforcement actions taken and assessed penalties topping ...
The Commodity Exchange Act forbids firms from commingling segregated customer funds with their own. It also limits customer funds that can be placed in a ...