Fewer attendees mentioned facing, or recently having gone through, an exam. But in rarer cases where examiners did knock, they came with massive document requests
The retail movement is worldwide. For example, Saudi Arabia and the United Arab Emirates 'have enabled fractional ownership structures for real estate and private credit, creating new ...
The SEC is turning to the public for help regulating AI
Private fund managers aren’t just at risk for litigation. In the decade-and-a-half since the Great Recession, private fund managers have often become the risk for ...
Since Trump came back to Washington, state legislators and regulators have adopted increasingly stringent merger reviews
The new year has brought a new wave of state legislation that would crack down on private equity and other corporate interests in healthcare markets
'If the disclosures were misleading or conflicts weren’t properly disclosed and it resulted in inflated fees, then you could see enforcement activity,' Weil, Gotshal & ...
Thirteen percent of staff walked out the door after Elon Musk's DOGE raid. 'In practical terms, this puts more responsibility on asset managers,' Major, Lindsey ...
Taking aim at 'small oligopoly' of proxy advisors, the SEC's Brian Daly wants investment advisers to weigh their votes carefully
Regulators are worried that private fund managers aren’t properly disclosing expenses paid to investment bankers or deal lawyers, that drive up the cost of a ...