Bill Myers
New Jersey regulators will examine investment advisers on how well they’re protecting elder clients from fraud, state Attorney General Gurbir Grewal says. The Garden State’s ...
SEC examiners will seek documents showing firms’ organizational structure and business lines, as well as any groups and even third-party vendors, responsible for helping them ...
Private fund advisers struggle with conflicts of interest, fees and expenses and putting together the right P&Ps to mitigate the risk of material, non-public information ...
Many of the deficiencies discussed below may have caused investors in private funds to pay more in fees and expenses than they should have or ...
SEC Chairman Jay Clayton has found himself engulfed in the ongoing controversy over the top prosecutor’s job in the critical Southern District of New York. The saga began ...
To all outward appearances, Richard Diver stood as a pillar of rectitude. The co-founder of Manhattan-based M&R Capital Management ($487M in AUM), Diver, 63, ran ...
The SEC has filed a lawsuit against a long-time broker-dealer, alleging that he pilfered nearly $1 million from elder clients—one of them a World War ...
June 15_2020-WEB
The COVID-19 crisis forced financial professionals to flee their offices in a hurry. Even if your cabin fever has you reaching The Shining-levels of madness, ...
The U.S. Department of Labor has given the green-light for pension fund advisers to invest their clients’ money in private funds, but compliance officers will ...