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 ...
For investors in Canarsie Capital Fund Master L.P., the total collapse of the hedge fund was incredibly rapid and catastrophic. In a two-week period spanning ...
Shamoil Shipchandler, recently named regional director of the Securities and Exchange Commission based in Texas, has an interesting philosophy when it comes to how GPs ...
Private equity firms exempt from registering with the SEC can rest easy: The SEC has not suddenly decided to examine you. A recent speech by Marc ...
Hardly a week goes by now without the SEC bringing another enforcement action against a private fund adviser for issues tied to fees and expenses ...
A San Francisco-based private equity fund adviser has been charged with negligent breaches of fiduciary duty for disclosure failures tied to undisclosed loans and cross-over ...
The SEC’s bringing first-of-its-kind, cutting edge cases is changing behavior, Chair Mary Jo White told the audience Nov. 10 at SIFMA’s annual conference in Washington, D.C. ...
Cherokee Investment Partners racked up $171,232 in expenses when it registered as an investment adviser with the SEC. The Raleigh, N.C.-based firm paid another $239,362 ...