Paritosh Gupta (“Gupta”), a former senior Brahman research analyst, transmitted Brahman’s confidential information to Nehal Chopra (“Chopra”), whom Gupta first met in 2006 and subsequently ...
The SEC moved last week to finalize action against Lawrence Penn in a case of fraud that has stretched four years. The contest goes on ...
The Commission’s complaint alleged that, between March 2010 and October 2013, Penn engaged in a fraudulent scheme to misappropriate approximately $9 million from a private ...
Click here to open an Excel file that is a template displaying the data required to be reported under the EU's Packaged retail investment and insurance ...
Click here to open an Excel file that is the European Working Group's template containing data points that a U.S.-based adviser that has parties in ...
Historically the SEC has announced charges against firms not satisfying rule 105 of Regulation M in big bunches. This time it’s only the New York-based ...
The SEC's complaint alleges that Singer and SFC raised approximately $4.5 million from at least 70 investors between October 2012 and July 2015 through an ...
Mohammed Ali Rashid routinely delegated to his assistant the filing of his monthly expense reimbursement forms at the private equity fund adviser Apollo Management ($46B ...
ACM nonetheless charged the Fund for all of ACM’s expenses. Between 2012 through 2015, ACM totaled all of its expenses on a quarterly basis and ...
Investment Company Act of 1940 – Section 17(d) / Rule 17d-1 October 26, 2017 RESPONSE OF THE OFFICE OF CHIEF COUNSEL DIVISION OF ...