Investment Advisers

The SEC’s stated 2015 examination priorities squarely include examining issues of importance to senior investors (IA Watch, Jan. 19, 2015). Both the Commission and FINRA ...
SEC Obtains a Preliminary Injunction Order, Including Asset Freeze, Against Purported Hedge Fund Manager, Moazzam "Mark" Malik
As market participants reevaluate how they will find stable sources of liquidity in a world of decreasing dealer inventories, a whole host of market-based solutions ...
This proceeding relates to certain inaccurate and incomplete information furnished by a registered investment adviser, Kornitzer Capital Management, Inc., and its chief financial officer and chief ...
This matter concerns investment adviser BlackRock’s failure to disclose a conflict of interest involving the outside business activity of one of its portfolio managers. BlackRock ...
The national exam staff intends to focus on certain never-before-examined registered investment companies. Such examinations will focus on the following topics: compliance programs; annual contract ...
A slew of financial services industry trade associations has banded together to voice their “strong support” for proposed cybersecurity legislation. SIFMA, the Financial Services Roundtable, ...
The Department of Labor packs a lot into its new 120-page proposed rule redefining a fiduciary. It contains a new “best interest contract exemption” under ...
Complaints about the SEC taking more cases to its home court administrative law judges versus federal courts have prompted legal challenges. Last week, a federal ...
This proceeding involves fraud, breaches of fiduciary duty, and compliance failures by Sean Cooper from 2010 to 2012. During that period, Cooper was a managing ...
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