Private Funds

European anti-money laundering and know-your-client regulation is coming to the U.S., Neuberger Berman Chief Operating Officer Brien Smith said in remarks at the CFOs & ...

GPB raised the sum over five years and at its peak, more than five dozen broker-dealers signed on to sell the adviser’s funds. The B-Ds ...

The SEC has revoked a New York investment adviser’s registration after accusing the firm of selling $60 million in fake loan assets to hide losses ...

Although Barnett and Aven had never worked for a hedge fund or created a valuation model, they thought that they knew better than the rest ...

The SEC has rewrapped its case against one of two principal witnesses in the record-setting SAC Capital prosecution, months after a federal judge set aside ...

What cyber challenges currently exist in the industry? Adam Fletcher, Blackstone Right now I’m thinking a lot about third party risk, with “cloud” being a ...

Embattled private fund adviser GPB Capital says it will not be able to publish its financial reports by the year’s end and that the company’s ...

An embattled private fund is distancing itself from the former SEC official it hired to run its own compliance program. GPB Capital says it was ...

That private equity has become a metonymy for a host of politically sensitive issues — the wealth gap, corporate greed, financial stability, among them — ...

Changes to FINRA’s rules on who can buy or sell initial equity public offerings or new issues open doors not just for broker-dealers but—potentially—private fund ...