Private Funds

An industry bar imposed by the SEC on Walter Grenda back in 2015 apparently did little to deter the long time investment adviser. In a ...

The SEC, along with four other federal financial regulatory agencies, has determined to extend by 30 days the comment period for a proposed rule to ...

BCM compliance manual stated that employees were required to “avoid establishing financial interests or outside affiliations that may create a conflict or appear to create ...

Murakami misappropriated investor funds for business and personal expenses and made approximately $1.3 million in Ponzi-like payments. The SEC also charged Murakami's former business partner, ...

This matter concerns disclosure violations arising from an undocumented and undisclosed $3 million dollar loan from Norman M.K. Louie (“Louie”), who at the time was ...

Here we summarize rules for selling foreign funds into various locales around the globe

Not disclosing a side letter agreement with two affiliated outside asset managers entitling a New York-based investment adviser to quarterly payments based on a percentage ...

This matter concerns a failure to disclose conflicts of interest by Lyxor Asset Management, Inc. (“Lyxor”), an investment adviser, to certain of its clients arising ...

Six weeks ago, PF Watch predicted a number of advisers would soon settle their SEC enforcement cases for not filing Form PF (PF Watch, April ...

These proceedings arise out of misrepresentations and omissions by Aberon and Krigsfeld concerning the assets and performance of a hedge fund called Aberon Capital Master ...