PF Rules & Regulatory Actions

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 ...

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 ...