Bill Myers
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 ...
State regulators and Democrats at the SEC have been increasingly vocal that Reg. D offerings have to be brought to heel. Their words are likely ...
The SEC has taken its first, tentative steps to opening up private funds to retail investors. There’s still a long way to go, but just ...
SEC Chairman Jay Clayton will call it a career, leaving the Commission by year’s end, the agency confirmed Nov. 16. The move had been expected: As the November ...
President-elect Joe Biden has named former CFTC chairman Gary Gensler to lead the financial services wing of his new transition team—a team stocked with veteran ...
Of the 16 registered private funds that faced discipline this year, only one disclosed a pending SEC enforcement matter in advance.
The Department of Labor has quietly updated ERISA rules to require private pension plan fiduciaries to put financial returns ahead of sustainable goals in investing, ...