Private Funds

If Matthew Rossi’s hedge fund venture were a star it would have streaked across the sky in a moment of awe – before crashing ingloriously. ...

Respondents defrauded certain SJL advisory clients and at least one investor in SJL’s MarketDNA Hedge Fund LP (“Fund”) by misleading them regarding the nature and ...

Match your skill set against the ideal qualities of an effective CCO. Begin with knowing the Advisers Act, being empowered to enforce your firm’s compliance ...

Three years after Brendan Ross registered his advisory firm, Direct Lending Investments ($866M in AUM) in Glendale, Calif., the 100% owner and CEO abruptly resigned ...

the settling defendants consented to the entry of final judgments permanently enjoining them from future violations of various provisions of the federal securities laws, and ...

You still have plenty of time – until May 2 – to comment on the SEC’s recent proposal to rescind one rule and add a ...

Respondent caused false and misleading representations and omissions to be made to current and prospective investors of a New York-based hedge fund (the “Hedge Fund”) ...

The complaint alleges that Meyer promised investors that, in return for giving up substantial portions of their profits, investors in one class would be protected ...

The OCC, Board, FDIC, SEC, and CFTC (individually, an Agency, and collectively, the Agencies) are inviting comment on a proposal to amend the regulations implementing ...

As time ticks down to the UK’s break from the EU next March 29, great uncertainty surrounds the issue of Brexit. But if your firm ...