Firm required departing employees to affirm they hadn't spoken to regulators, SEC claims
Welsh, Carson vows to fight suit: 'We are proud of our investment'
Case comes less than a month after SEC doubles down on accelerated monitoring fees
As Washington pressures industry, advice-of-counsel becomes "fertile ground" for litigation
Bankers, insurance companies, real estate managers walk with private fund advocates to stop 'fundamental changes' to custody system
'America’s markets are the greatest in the world because we have strong investor protection and because we have effective regulators at the SEC,' Ohio senator ...
In the wake of the most sweeping regulations since the financial crisis, Gensler was grilled this week by members of the Senate’s Banking, Housing and ...
Notice puts industry on the clock
'The clock is ticking'
Compliance may not be a check-the-box exercise anymore, but you've still got to check the boxes
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