11/22/2017
The SEC moved last week to finalize action against Lawrence Penn in a case of fraud that has stretched four years. The contest goes on despite Penn ha...
11/09/2017
Historically the SEC has announced charges against firms not satisfying rule 105 of Regulation M in big bunches.  This time it’s only the New York-bas...
10/26/2017
Mohammed Ali Rashid routinely delegated to his assistant the filing of his monthly expense reimbursement forms at the private equity fund adviser Apol...
© 2017 Simplify Compliance. ALL RIGHTS RESERVED | PRIVACY POLICY | TERMS & CONDITIONS | ABOUT US | CONTACT US