Marshall Sprung, co-chief of the SEC Division of Enforcement’s Asset Management Unit, will be leaving the Commission later this month. He has served as co-head ...
Issues tied to fees and expenses are “dominating” today’s SEC examinations of private fund advisers. That message was delivered by several Kirkland & Ellis partners ...
The role of exchange-traded funds, private fund advisers, disclosure and that of boards of directors in fund oversight are current hot button areas for the ...
At IA Watch’s IA Compliance: The Full 360 Degree conference last month, both the advertising and marketing and SEC exams panels heard the same question: ...
Investors in a hedge fund will be reimbursed nearly $3 million in losses suffered when they were misled about the fund’s investment strategy and historical ...
The indictment on which Malik was convicted alleged, among other things, that Malik stole money that investors had entrusted to him to invest. During the ...