Conflicts of Interest

Click here to open a Word document. This is an example of a conflicts questionnaire. It comes from a peer. The firm would have staff ...

These are advertising and media appearance guidelines from a peer at a private equity fund advisory firm.

OCIE officials have made no secret that they're going to set their sights on many of the newly registered private fund advisers (IA Watch, March ...

Industry players are worried that a proposed SEC rule aimed at curbing conflicts of interest in the packaging of asset-backed-securities (ABS) is too vaguely worded ...

Another holdover from the financial crisis was dealt with last week by the SEC when commissioners unanimously approved Securities Act proposed rule 127B