Investment Company Act of 1940 — Sections 12(d)(1)(A) and (B) and 17(a) Franklin Templeton Investments April 3, 2015 RESPONSE OF THE OFFICE ...
Lynn Tilton and her New York-based Patriarch Partners firms were hit with SEC fraud charges March 30 tied to concealing the poor performance of loan ...
For small advisers constrained by tight budgets one alternative is contracting for an outsourced CCO. While such an arrangement can ultimately lead to a successful ...
Nearly all advisers don’t place a limit on the number of personal trades staff can make annually. The typical holding period – for firms that ...
The books and records rule does require a slew of items to be maintained – and shared with inquiring examiners – from “all written communications” ...
Two years ago we warned against the use of confidentiality agreements that prevent whistleblowers from going to the SEC (IA Watch, May 13, 2013). Last ...
IA Watch has spotted a solicitation by the SEC’s Enforcement Division seeking potential expert witnesses to appear in court cases it brings. Applicants are asked ...
Federal Court Imposes $55 Million Final Judgment Against Investment Adviser CEO