The SEC is pursuing fraud charges against two private hedge funds and their founders, who the Commission says bilked stricken former football players in what ...
A defunct Manhattan broker-dealer and its former CEO have agreed to settle SEC claims that they failed to supervise one of their brokers who was ...
It appears that Brenda Smith had a broad reach into the pockets of her hedge fund investors. The SEC has charged Smith, her hedge fund ...
Claiming to have enough assets to qualify for SEC registration when an adviser doesn’t lays out a road to trouble. A new enforcement settlement bars ...
Earlier this month, five federal regulatory agencies, including the SEC and CFTC, issued a joint final rule excluding smaller banks from the Volcker rule and ...
The very first line of the SEC settlement summary pulls no punches, offering words of caution to all private fund advisers. “Valuation of client assets ...
Poll results are in and the verdict sits squarely down the middle—half of a room chock full of private fund professionals anticipate an increased SEC ...
Many CFOs at private equity fund advisers also serve as CCOs. It’s important that someone wearing both hats also receive quality supervision as well. This ...
Many would say only having four to five hours’ worth of telephone calls and performing a few Google searches doesn’t constitute sufficient due diligence before ...
If Matthew Rossi’s hedge fund venture were a star it would have streaked across the sky in a moment of awe – before crashing ingloriously. ...