You have until July 22 to comment on this joint SEC/FinCEN proposal that would require SEC-registered investment advisers and exempt reporting advisers to implement a ...
The Fund filed a lawsuit against Production Company A, the Joint Venture, and Film Studio A seeking repayment of the amounts outstanding on these loans, ...
He failed to disclose his financial interest in a group of private affiliated companies that had committed to investing $30 million in a company that ...
This is the joint SEC/FinCEN proposal that would require SEC RIAs to maintain a CIP or customer identification program
During the examination, Commission staff informed Ali about the Advisers Act custody rule’s requirements and its prohibition against commingling client money with the firm’s. However, ...
CCA benefited from this arrangement by deferring payment on its legal costs for multiple years
This is the DOL's final rule creating a new definition of an ERISA fiduciary
This document contains a notice of amendment to class prohibited transaction exemption (PTE) 2020-02, which provides relief for investment advice fiduciaries to receive certain compensation ...
This document contains a notice of amendment to Prohibited Transaction Exemption (PTE) 84-24, an ERISA exemption from certain prohibited transactions
This document contains a notice of amendments to Prohibited Transaction Exemptions (PTEs) 75-1, 77-4, 80-83, 83-1, and 86-128, which are class exemptions from certain prohibited ...