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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. ...
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 & ...
The private equity industry’s 2-and-20 fee structure cannot survive the next 10 years, and the tax treatment of capital gains on carried interest will be ...
Partners Group is being accused of breaching a non-disclosure agreement with freight-rail operating company MidRail. New York-based MidRail claimed in a lawsuit filed in the Supreme Court ...
A former healthcare analyst at a private fund has agreed to a three-year bar and will pay nearly $135,000 to settle claims that he helped ...
The SEC has filed civil fraud charges against a pair of New England men and the private fund they ran—a fund that Massachusetts regulators say ...
Fundraising by private equity firms reached $537.2 billion last year, the highest amount raised since the financial crisis, according to Private Equity International’s Annual Fundraising Report 2019. ...
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 ...
New York Attorney General Letitia James has filed suit against an investment adviser/broker-dealer who she says forged documents, violated the terms of a PPM and ...
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