Private Funds

The heavy guns have been drawn. Days after a former SEC commissioner and others filed lawsuits claiming some SPACs violate the securities laws by not ...

Without adequate policies, procedures, training, and supervision in place at Frontier, certain IARs failed to reasonably assess whether the Feeder Fund was suitable for each ...

This new one asks for the adviser’s “internal definition of any terms that relate to” environmental, social and governance and socially responsible investing

Gensler has tough questions for 'stonks' industry

Embattled hedge fund adviser Infinity Q has estimated its exposure to ongoing shareholder suits at nearly $675 million, the firm says in a new statement. ...

Narrative, structural complexities invariably hid higher fees, academics find

Scam began as side-hustle, SEC claims

Former Ares exec loses millions in unvested stock incentives.

European and American regulators have reached a new agreement to help each other monitor securities-based swaps dealers. Foreign swaps dealers and “major participants” are required ...

SEC, investors demand more 'horsepower' in private fund shops