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 ...
Advisers to larger private funds may be taken aback when they glimpse the range of data being sought by the SEC to aid the Financial ...
Thank Dodd-Frank for two new proposed rules advanced by SEC commissioners last week. The more substantial one would force private fund advisers to report either ...
Several middle market private equity firms have launched a last-ditch campaign urging Congress not to impose a new requirement that they register with the U.S. ...
You may know them as researchers, consultants or expert networks. Some advisers are simply calling them trouble, given the recent rash of insider trading cases ...
Sometimes there are few bright lines. Take the sale of unregistered securities such as hedge fund offerings. Most funds rely on exceptions under Reg D, ...