With proposed reforms, regulators nudge and coax private funds toward ‘tickerization.’
More than half of fund general counsels and chief compliance officers are now given long-term incentives as part of firm value creation. More than half ...
In separate exam requests, SEC regulators asked an interval fund manager and a tender offer fund manager to show their work.
Seven enforcement cases read like preambles to the SEC's latest risk alert on annual reviews.
Markets may be heading for crisis when the interests of investors, analysts, media and firms line up—and the private funds industry may well be the ...
‘Today’s proposal respects the First Amendment’s protections of speech and the limits of our authority to override such protections,’ Republican Commissioner Hester Peirce says in ...
‘We believe that our firm acted in good faith at all times,’ spokeswoman says.
Major, Lindsey & Africa partner Dimitri Mastrocola to headline Oct. 6 discussion, ‘Recruit, retain and reward: Building a culture of compliance...’
‘Given the importance of this information collection effort and its technical nature,’ SEC Chair Paul Atkins says, ‘a short extension is practical and necessary.’
The Trump administration has widened its fraud “strike force,” and private fund managers should see health care as a free-fire zone. The Department of Justice’s ...