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Private Funds

Naya Ventures neglected to take steps to ensure that an accounting firm was engaged to perform an annual audit as the partnership agreement required
Sideletter
SEC enforcement should focus on finding individuals responsible for wrongdoing, Democratic Commissioner Allison Herren Lee told a crowd of compliance professionals at the Investment Adviser ...
Private funds will be the subject of their own separate risk alert later this year, OCIE Director Pete Driscoll says. “That’s something we’ve been getting ...
Delegates to Maryland’s state legislature have proposed laws that could see management fees and carry taxed at nearly 60% and 50%, respectively, and some market ...
Eric Lyons misused and misappropriated approximately $570,000 from the funds
"Certain aspects of the implementing regulations may have resulted in a complex and costly compliance regime that is unduly restrictive and burdensome"
Activist investor Jeffrey Eberwein has gotten himself back into hot water with the SEC, this time for failing to disclose conflicts of interests as he ...
The SEC has closed the books again on one of the biggest insider trading scandals of this century. Under a consent decree entered in federal ...
New federal law on foreign investments expands the Committee on Foreign Investment in the United States’ authority over “critical” technology, infrastructure and data management and ...
A New York Supreme Court justice has ordered the assets of a private fund and related broker-dealer frozen, after evidence revealed “a shocking level of ...
The future of debt markets have become a little clearer this year with the UK’s financial regulator, the Financial Conduct Authority, throwing its support behind ...
Constantine Rakkou is the chief financial officer and chief compliance officer for HKW, a private equity firm investing in growth-oriented companies with talented management teams ...
Compliance officers often complain that they don’t have enough authority in their funds. Too far removed from decisions, too siloed from the bigger company, you’ve ...
Banks would be allowed to invest in several different kinds of private funds under a massive new set of reforms being considered by Washington regulators. ...
SEC Chairman Jay Clayton has told advocates that he is open to shortening the seven-day delay written into a proposed proxy advisor rule (RCW, Nov. ...
The latest proposed revision to the Volcker rule
Private funds should pitch in their “fair share” to fix social imbalance and climate change, the chief executive of one of the world’s largest private ...
The SEC’s pursuit of a personal injury lawyer accused of bilking stricken former football players out of their lives’ savings has dragged a private Houston ...
A convicted hedge fund swindler took “rebranding” to new extremes by inventing a whole new identity in order to con investors in a crypto-currency, federal ...
European anti-money laundering and know-your-client regulation is coming to the U.S., Neuberger Berman Chief Operating Officer Brien Smith said in remarks at the CFOs & ...
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