The call conjured up a mystery reminiscent of a spy novel, and raised suspicions like a fingerprint left at a crime scene. A peer had ...
The year's underway and the work's pouring in. What's your secret to getting it all done?For many of your peers the solution comes down to ...
IA Watch has obtained four SEC document request letters from recent exams of investment advisers. Most are "presence" or limited scope exams that clearly reveal ...
A late February article by Bloomberg News said that regulators were considering an exemption for private equity shops from a requirement that they would have ...
It's not every day that an enforcement action against an investment adviser includes news that the CCO resigned over questionable actions by the firm's owner. ...
The announcement of the never-been-examined initiative isn't the only new development out of OCIE (IA Watch, Feb. 24, 2014). This month, examiners will begin using ...
In April of last year, David Blass, chief counsel for the Division of Trading and Markets at the U.S. Securities and Exchange Commission, gave a ...
Just in time, as many large hedge fund advisers are getting ready to file their latest quarterly Form PF by the end of the month, ...
We asked your peers for compliance tests they'll be conducting this year. Their plans include:1. Staying within clients' investment parameters. Wasmer Schroeder & Company ($4.5B ...
A new "no-action" letter from the SEC's Division of Investment Management opens the opportunity for more staff to invest in their firm's exempted private funds ...