PF Rules & Regulatory Actions

Velissaris knew or recklessly disregarded that he was, in fact, manipulating the valuations of the Infinity Q Funds’ positions in the Pricing Service and was ...

EXAMS staff observed potential failures to conduct a reasonable investigation into an investment

Congress is weighing legislation that would require investment advisers and other “gatekeepers” to develop and maintain anti-money laundering policies and procedures. If passed, the ENABLERS ...

In a new settlement order, the SEC says private fund adviser Soteira Capital and its principals, Derek Charles Clark and Laura Santos overcharged performance fees, ...

Pair gamed 'meme stonk' chaos, feds claim

Banking giant Credit Suisse lost $5.5 billion on the collapse of Archegos Capital Management because “of a fundamental failure of management and controls” and in ...

Chairman looks at Reg D, ESG disclosures, insider trading, Form PF and much else

SEC regulators have issued a new statement underlining requirements and restrictions on the booming special purpose acquisition company industry. In a March 31 statement from ...

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 ...