If your firm has discretionary authority over client assets held outside the U.S. that aren't registered mutual funds and are publicly offered, you likely will ...
If you're an unregistered hedge or private equity fund adviser with more than $150 million in AUM, you should look to early June as your ...
In a determined effort to cleanse its damaged reputation, CalPERS released a scathingly detailed 56-page report investigating charges that former senior officials at the California ...
It looks like the campaign against SEC registration is gaining momentum. The House Financial Services Committee will hold a hearing next Wednesday, March 16, to ...
You have until April 12th to tell the CFTC what you think of its new proposal to eliminate exemptions that have kept many hedge funds ...
The giant California Public Employees’ Retirement System acknowledged that federal authorities, including the Securities and Exchange Commission and California-based federal prosecutors, have requested millions of ...
The U.S. Securities and Exchange Commission has issued proposed rules to implement the systemic risk reporting requirements of the Dodd-Frank Wall Street Reform and Consumer ...
The suspect thought he was so smart he would use pliers to rip apart the evidence and then scatter the debris in the pre-dawn hours ...
The Dodd-Frank Wall Street Reform and Consumer Protection Act, enacted after a long and intensive legislative process, contains numerous provisions that will impact private equity ...
Among Dodd-Frank's more controversial reforms are those that would affect only RIAs that are affiliated with a bank. If this captures your firm, be aware ...