On Sept. 26th, FINRA rule 5131 - the anti-spinning rule - takes effect. While it's aimed at broker-dealers, compliance with it creates headaches for fund ...
It may turn out to be a lost decade for former venture capitalist Matthew Crisp, who faces Securities and Exchange Commission charges of exploiting conflicts ...
Some professionals in private equity fighting to repeal a rule in the Dodd-Frank financial reform law calling for most firms to register with the Securities ...
Douglas Lowenstein, who shepherded the Private Equity Growth Capital Council from its narrow origins representing some dozen mega-firms to a far more diverse organization, and ...
A Delaware judge has ruled for Randy Lerner, the billionaire owner of the Cleveland Browns NFL football team, in a dispute with a hedge fund ...
A peer shares the firm's policy for social media, email and other e-communications.
Let cynics call them vulture capitalists. Firms that pursue distressed investing and turnaround strategies represent the best of the alternative asset classes. First they need ...
This is a diagram created and shared with permission of the law firm Gibson Dunn. It provides a visual guide for IA registration consistent with ...
This is the main SEC rule affecting investment advisers due to the Dodd-Frank reform law. This was passed in June 2011 and appeared in the ...