Carl Ayers
The U.S. courts will be the next stop for four Timbervest ($1.3B in AUM) executives who have vigorously fought SEC fraud charges as they contest ...
A new 415-page rule proposal gained unanimous support Sept. 22 from SEC commissioners. If finalized, the rulemaking would require advisers with open-end mutual funds and ...
Advisers Act rule 203(l)-1 (venture capital fund defined) describes a “qualifying portfolio company.” The definition fits into the analysis needed to conclude whether a venture ...
This proposal would adjust the timing of hearings in administrative proceedings; allow for discovery depositions; clarify the rules for admitting hearsay and assertion of affirmative ...
This proposal would require persons involved in administrative proceedings to submit all documents and other items electronically. The proposed amendments are intended to enhance the ...
This letter went to an adviser within the SEC's Boston Regional Office in September 2015.
The proposed amendments also seek to enhance disclosure regarding fund liquidity and redemption practices. The Commission is proposing new rule 22e-4, which would require each ...
Gemmer Asset Management in California has given IA Watch permission to share with subscribers its cybersecurity plan. Perhaps you'll gain ideas to improve your approach ...
An appeals court has ruled that Dodd-Frank anti-retaliation protections extend to whistleblowers who report their allegations to their firm but not to the SEC. ...