Fees and Expenses

The SEC’s Office of Compliance Inspections and Examinations has named Marc Wyatt as its new deputy director. He’s been with the Commission since December 2012 ...

This proceeding involved breaches of fiduciary duty and materially misleading statements and omissions by CEC, an investment adviser formerly registered with the Commission, and its founder, ...

Hedge fund advisers are having some advertising and marketing compliance issues and 2015 will see SEC examiners focus on retiring investors. These nuggets were among ...

The fallout from the 2008 collapse of Lehman Brothers continues. This time the cost is $15 million—the penalty Barclays Capital ($12.9B in AUM) will pay ...

This private equity fund adviser settled an SEC enforcement case by agreeing to pay more than $2 million for Advisers Act violations. These included not ...

Securities regulators, broker-dealers and other financial institutions will form a working group to figure out how to make brokerage fee disclosures easier for investors to ...

Former SEC Division of Investment Management Director Norm Champ talks about the hedge fund industry.

SEC Charges Minneapolis-Based Hedge Fund Manager with Bilking Investors and Portfolio Pumping

Because Dodd-Frank directed the SEC to produce an annual report on Form PF data, you now have insight into how OCIE plumbs the data for ...

The fraud case took nearly four years to come to trial but only two hours for a jury to deliver a guilty verdict. A Massachusetts ...