The inquiry from the SEC came in on Friday, Oct. 13, 2000. It would lead to alleged insider trading charges uniquely applied to mutual fund ...
The SEC’s rules regarding advertising and marketing were developed long before the internet could have ever been imagined but that doesn’t mean your firm’s website ...
The insider trading case that led to Wells Fargo Advisors ($334B in AUM) in St. Louis last month paying a $5 million fine to the ...
The U.S. Securities and Exchange Commission may consider significant changes to the definition of “accredited investor” pending a recommendation of an Investor Advisory Committee. The ...
Hedge fund advisers are having some advertising and marketing compliance issues and 2015 will see SEC examiners focus on retiring investors. These nuggets were among ...
The fallout from the 2008 collapse of Lehman Brothers continues. This time the cost is $15 million—the penalty Barclays Capital ($12.9B in AUM) will pay ...
Even the SEC recognizes its advertising and marketing rules for advisers aren’t easy. “Advertising and marketing is a really challenging and difficult area,” said ...
It is no longer the golden age for deal and monitoring fees.
The good news: the SEC found the firm’s compliance manual contained policies and procedures “reasonably designed to prevent several violations of the Advisers Act.” The ...
The wait’s over if you’re among those dually-registered advisers that hung back on using the new general solicitation authority to advertise private funds because you ...