Bill Myers
Bill Myers has been a journalist for more than two decades in Chicago, Cambodia and Washington, DC. He started his career at the late, great City News Bureau of Chicago (motto: "If your mother says she loves you—check it out").
In separate exam requests, SEC regulators asked an interval fund manager and a tender offer fund manager to show their work.
A new SEC risk alert warns fund managers to pay closer attention to their annual compliance reviews, AI’s risks multiply, a San Diego adviser gets ...
Seven enforcement cases read like preambles to the SEC's latest risk alert on annual reviews.
Annual reviews are ‘critical’ to rule 206(4)-7 compliance, agency examiners say. Yet many advisers let them slip through the cracks.
Markets may be heading for crisis when the interests of investors, analysts, media and firms line up—and the private funds industry may well be the ...
The SEC moves to scrap its ‘pay-to-play’ rule, your peers are jumping on the AI train, examiners zero in on an investment adviser’s clients, FINRA ...
‘Today’s proposal respects the First Amendment’s protections of speech and the limits of our authority to override such protections,’ Republican Commissioner Hester Peirce says in ...
‘We believe that our firm acted in good faith at all times,’ spokeswoman says.
Whistleblower advocates call for rules update, examiners nudge broker-dealers and transfer agents on database searches and recordkeeping, the SEC and CFTC kick the Form PF ...
Major, Lindsey & Africa partner Dimitri Mastrocola to headline Oct. 6 discussion, ‘Recruit, retain and reward: Building a culture of compliance...’