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A former SEC examiner will spend the next nine months under house arrest for sneaking into the Commission’s secret databases to sweeten his job prospects ...
GPB raised the sum over five years and at its peak, more than five dozen broker-dealers signed on to sell the adviser’s funds. The B-Ds ...
GP removal
Increasingly litigious interactions and overt hostility at Novalpina has increased the appeal of a possible third-party replacement, PEI understands.
Huish drafted marketing materials sent to investors and prospective investors in Founders that materially overstated the Funds’ size and ability to fund deals that would ...
More than three-fifths of private fund CCOs are wearing multiple hats on the job, an analysis of SEC data shows. There were 4,561 private fund ...
The SEC has revoked a New York investment adviser’s registration after accusing the firm of selling $60 million in fake loan assets to hide losses ...
Private fund adviser settles custody case - but where did all the money go?
The SEC is relaxing many of its rules as the coronavirus continues to burn through the world economy, but the agency’s top enforcers have issued ...
USA
There are three key questions participants in SPACs must answer when considering whether the Committee on Foreign Investment in the United States will get involved ...
It’s being able to say to the investment team, ‘If you’re going to make certain statements about considering ESG in the investment process, then you ...
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