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TSP Capital will pay a $60K penalty under settlement agreement
Consider discussing the proposed ad rule now with your sales and marketing teams
TSP Capital also failed to comply with the requirement that every investment adviser registered with the Commission adopt and implement written P&Ps
RCW exclusive analysis of Form ADV data
COVID-19 is a double-barreled compliance crisis for private funds. On the one hand, as cash evaporates it could expose weak investments or even outright fraud ...
A Florida private fund adviser hid losses on bad loans and booked fees it hadn’t yet received to over-inflate its funds’ net asset values by ...
For nearly three decades, Marko Dimitrijevic was an impresario in emerging market funds. His firm, Everest Capital, attracted early investments from George Soros and Dimitrijevic’s ...
A private fund isn’t a personal fund, and the SEC has just driven the point home by barring a Maryland investment adviser for helping himself ...
A New York private equity fund adviser has agreed to pay nearly $1.9 million to settle SEC accusations that it hid management fees from its ...
Private equity or hedge funds that took out loans designed to help small businesses survive the coronavirus meltdown now have until May 7 to return ...
The Division would not recommend enforcement action for distributing late a pool's audited financial statements due to certain unforeseeable circumstances
A Boston-based private fund adviser mislabeled one of its drilling assets in a marketing brochure and will now be $1 million lighter for it. In ...
Hedge funds and private equity firms are primarily engaged in investment or speculation, and such businesses are therefore ineligible to receive a PPP loan
The SEC alleges material misstatements were made to hedge fund investors
The ICI declares that there “is no legal basis under the Investment Company Act to restrict closed-end funds’ use of certain common takeover defenses limiting ...
Naya Ventures neglected to take steps to ensure that an accounting firm was engaged to perform an annual audit as the partnership agreement required
Private funds will be the subject of their own separate risk alert later this year, OCIE Director Pete Driscoll says. “That’s something we’ve been getting ...
Delegates to Maryland’s state legislature have proposed laws that could see management fees and carry taxed at nearly 60% and 50%, respectively, and some market ...
Eric Lyons misused and misappropriated approximately $570,000 from the funds
We are amending the definition of the term “assets under management” in the private fund adviser exemption to exclude the assets of RBICs
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