Bill Myers
“There is only one thing worse than being talked about,” said Oscar Wilde, “and that is not being talked about.” Private fund CCOs might beg ...
Large-volume investment advisers and broker-dealers should take a fresh look at their compliance manuals and policies and procedures to make sure they’re getting right with ...
Pension plan fiduciaries don’t have to cast every one of their clients’ proxy votes but whatever decision they make must be made “prudently and solely ...
New York investment advisers and their representatives will have to update their registration with state authorities under new rules adopted by Empire State regulators Dec. ...
Eagle-eyed reader Rob van Grover says he’s found a “foot fault” in the SEC’s new definition of accredited investors and suggests that private fund advisers ...
Securities Information Processors now must gather and share data on stock exchanges’ depth-of-book, odd-lot and auctions under new rules adopted Dec. 9 by the SEC. ...
A New York dual registrant will pay $8 million to settle SEC claims that the firm lacked the proper policies & procedures to ensure they ...
BlueCrest Capital Management has agreed to pay $170 million in fines and disgorgement to settle SEC claims that the UK-based private fund adviser provided inadequate ...
OCIE’s recent risk alert on branch office businesses may well offer some lessons to the broader industry, a top regulatory lawyer tells RCW. The risk ...
A Florida attorney and a disbarred New York attorney have been indicted on federal fraud charges, accused of selling off OTC lawyers’ letters for a ...