PF Rules & Regulatory Actions

Wadood helped AIML to fraudulently conceal the misappropriation and misuse of APEF IV’s assets, as well as the desperate financial condition of Abraaj Holdings and ...

BlueCrest Capital Management has agreed to pay $170 million in fines and disgorgement to settle SEC claims that the UK-based private fund adviser provided inadequate ...

Goulding commingled in the same bank accounts moneys belonging to himself, Nutmeg, and the Funds

Twelve past staff letters because of Commission action

Rashid claimed as legitimate business expenses a New Year’s trip to Brazil, a friend’s bachelor party and wedding, a flight to the Super Bowl, and ...

EDG did not incorporate the effects of these write downs into management fee calculations performed with respect to thirteen quarterly management fee payment dates during ...

A Coral Gables, Fla. private fund adviser and his firm bilked accredited investors out of millions by misrepresenting the funds’ past performance, their firms’ AUM ...

A Miami private fund adviser has been censured and will pay $350,000 in fines to settle SEC claims that it overcharged the real estate funds ...

The cost allocation methodology Rialto used to calculate Third Party Tasks increased general overhead expenses. Rialto did not fully disclose this increase to the Advisory ...

In an effort to clarify and simplify compliance with the implementing regulations, the final rule adopts revisions to the provisions that govern the relationship between ...