Private Funds

By all measures the investment adviser industry shows healthy growth. That’s one of the conclusions in the recently released 15th annual Evolution Revolution study from ...

The price for hiding serious conflicts of interest from clients has proven high for PageOne Financial and its sole owner and principal Edgar Page. On ...

Regulator interest in how private equity fund advisers assess and disclose fees and expenses has been as transparent as a stadium scoreboard. Irony exists in ...

As the four-year anniversary of the formation of the SEC’s Office of the Whistleblower approaches, SEC Chair Mary Jo White is declaring its awards program ...

The hint came at IA Watch’s spring compliance conference: on the horizon the industry could expect a number of conflicts cases to be recommended for ...

The SEC’s first-ever anti-retaliation whistleblower case has now yielded a “maximum” award payment of $600,000 for the head trader at a hedge fund adviser that ...

A clear violation occurs if an adviser were to engage in a principal trade without obtaining the consent of the client. Advisers Act section 206 ...

The SEC has brought its first-ever case charging a firm and its CCO for failing to report a “material compliance matter” to a fund board. ...

SEC Obtains a Preliminary Injunction Order, Including Asset Freeze, Against Purported Hedge Fund Manager, Moazzam "Mark" Malik

When your regulator has embraced a risk-based approach to prioritizing exams, it’s always helpful to know what factors are actively being considered. In a speech ...