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Maplelane Capital violated books and records, Reg SHO rules, SEC claims
'Archegos engaged in a brazen scheme to manipulate the market,' SEC claims in civil suit.
'This is a process. You should look for small steps, rather than big pivots...'
Dem Commissioner says she's open to new definition of shareholder of record, but wants to hear from experts on it.
'The failure to take an otherwise routine step makes sense only in the larger context of the Commission’s newfound hostility to SPAC capital formation.'
One takeaway: Even if you’re at a private equity fund adviser, be sure your custodian sends quarterly statements to investors—even if the investors have no ...
'Right now, there is a lot of ambiguity'
Sentence will deter others, judge hopes
'Final rule should be a minimum standard and not a maximum compliance threshold,' group says.
Peltz used Bloomberg reporter to help sweeten his stock positions
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