We've given you updates before as the European Union moves to implement its Alternative Investment Fund Managers Directive (IA Watch, Oct. 22, 2012), which will ...
Now it's the turn for eight former board members of five mutual funds. They face legal action over alleged failings in carrying out their duties ...
With two recent no-action letters, the CFTC has made the holiday season for advisers to family offices and fund of funds. But these advisers have ...
Joseph Massoud, the founder of buyout firm Compass Group Management settled insider trading charges the Securities and Exchange Commission had brought against him.
If your firm participates in lending client securities - for example, for short selling arrangements - you should review the practice annually.You also should do ...
With a December 31st deadline bearing down to register as a commodity pool operator or commodity trading advisor and unanswered questions for fund of funds ...
Many believe it's only a matter of time before the SEC finalizes its general solicitation proposal, opening up private fund offerings to advertising (IA Watch, ...
All signs point to a relaxation of the ban on general solicitation of private fund offerings as long as sales go to accredited investors. But ...
Attorneys and fund marketers predict that buyout shops, particularly those that market to wealthy investors, will take advantage of a proposed rule allowing them to ...
In speeches and a sweep letter, the SEC demonstrates it is moving determinedly toward eyeing private equity fund advisers for signs that clients are being ...