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The coronavirus crisis has forced many firms to stitch together patchwork telecommuting arrangements even as the world economy faces its worst days since the 1930s. ...
Sherlock Holmes famously solved a case by listening for a dog that didn’t bark. Since the early days of the coronavirus crisis, a deafening silence ...
A Florida private fund adviser hid losses on bad loans and booked fees it hadn’t yet received to over-inflate its funds’ net asset values by ...
The coronavirus crisis caught almost everyone off guard. But now, two months into lockdown, and no date certain on when we’ll get back to “normal,” ...
For nearly three decades, Marko Dimitrijevic was an impresario in emerging market funds. His firm, Everest Capital, attracted early investments from George Soros and Dimitrijevic’s ...
A private fund isn’t a personal fund, and the SEC has just driven the point home by barring a Maryland investment adviser for helping himself ...
A New York private equity fund adviser has agreed to pay nearly $1.9 million to settle SEC accusations that it hid management fees from its ...
Private equity or hedge funds that took out loans designed to help small businesses survive the coronavirus meltdown now have until May 7 to return ...
A Boston-based private fund adviser mislabeled one of its drilling assets in a marketing brochure and will now be $1 million lighter for it. In ...
The SEC on April 24 announced that it had formed a 12-member committee that will monitor precarious markets as the coronavirus crisis continues its horrible ...
A New York investment adviser will pay $35 million to settle claims that it sold tens of millions of dollars in phony loan assets to ...
The Trump Administration’s proposed overhaul of the Volcker Rule should go even further by making clear that it may take more than three years to ...
Crooks are like the virus—once they attach to you, it’s hard to get rid of them. Unlike the coronavirus, they’re not going to kill you, ...
Attorneys General of 21 states are urging the Trump Administration to freeze all rulemaking and focus on the COVID-19 pandemic. In a letter to Russel ...
Investment advisers will be able to borrow from sister funds during the coronavirus pandemic, the SEC has announced. The March 23 order allows funds to ...
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 ...
The SEC alleges material misstatements were made to hedge fund investors
Broker-dealers and even investment advisers who are worried about complying with European research rules that conflict with American law shouldn’t wait to get their affairs ...
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 ...
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