It almost makes too much sense. If a private equity fund adviser manages a portfolio that includes companies that produce a product, the adviser’s staff ...
At IA Watch’s IA Compliance: The Full 360 Degree conference last month, both the advertising and marketing and SEC exams panels heard the same question: ...
President Barack Obama has called on the doubling of the funding for the SEC from its 2015 level by 2021. In his 2017 fiscal year ...
Investors in a hedge fund will be reimbursed nearly $3 million in losses suffered when they were misled about the fund’s investment strategy and historical ...
There’s no disputing that how private equity fund advisers handle fees and expenses occupies a top interest among SEC examiners. Consider additional avenues to disclose ...
It’s not a revelation that private equity fund advisers hired CCOs after Dodd-Frank took effect in 2010. The law required larger PE firms to register ...
A federal judge Jan. 26 ordered the SEC to return a $21.5 million settlement to the now shuttered hedge fund adviser Level Global Investors after ...
Just because a particular issue gets trimmed from the SEC’s exam priorities list one year to the next doesn’t mean that issue has fallen off ...
It could seem that an SEC enforcement action against a business development company is as rare as a winter sun in Alaska. But recently the ...
In the first of a required-Dodd-Frank issued report, SEC staffers suggest the Commission should consider several changes to its definition of an accredited investor, including ...