It took awhile but the federal agencies united in the Volcker rule finally have published their proposed changes. The Feb. 8th Federal Register reveals the ...
Look at it as a friendly divorce that welcomes into the marriage a new spouse. Most limited partnership agreements offered by private equity fund ...
In what may be the last SEC no-action letter released for some time due to the government shutdown, the Division of Investment Management last month ...
An old car product advertisement used to sell its product by stating “pay me now, or pay me later.” This adage could apply to ...
As time ticks down to the UK’s break from the EU next March 29, great uncertainty surrounds the issue of Brexit. But if your firm ...
There may be 12 days of Christmas but you can count six regulations – four final rules and two proposals – newly gifted from SEC ...
The SEC was crystal clear in its 2018 priorities letter and the pronouncement will likely appear yet again in next year’s iteration: “the proper disclosure ...
Steven Zoernack’s first conviction for a financial crime came in 1999. His second followed eight years later when he pleaded guilty to ripping off investors, ...
Within days of an SEC action against Yorkville Advisors in 2012, the defendants filed a furious response, calling the claim of fraud “baseless,” “an egregious ...
Hedge fund advisers wouldn’t necessarily expect to find disclosure lessons in an SEC enforcement case that touches on the 1983 Beirut bombing that killed 300 ...