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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 ...
Delegates to Maryland’s state legislature have proposed laws that could see management fees and carry taxed at nearly 60% and 50%, respectively, and some market ...
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. ...
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