Bill Myers
Officially, the SEC is suing a South Florida digital investment adviser for failure to maintain and hand over its books and records—including those behind a ...
In March, OCIE Director Pete Driscoll promised private fund advisers that the SEC would this year issue a risk alert directed at them. “That’s something ...
COVID-19 is a double-barreled compliance crisis for private funds. On the one hand, as cash evaporates it could expose weak investments or even outright fraud ...
FINRA and the other SROs are now on the clock to publish their plans for the looming consolidated audit trail requirements after a divided Commission ...
The coronavirus crisis has forced many firms to stitch together patchwork telecommuting arrangements even as the world economy faces its worst days since the 1930s. ...
Sherlock Holmes famously solved a case by listening for a dog that didn’t bark. Since the early days of the coronavirus crisis, a deafening silence ...
A Florida private fund adviser hid losses on bad loans and booked fees it hadn’t yet received to over-inflate its funds’ net asset values by ...
The coronavirus crisis caught almost everyone off guard. But now, two months into lockdown, and no date certain on when we’ll get back to “normal,” ...
Large size broker-dealers will be allowed to comply with Consolidated Audit Trail requirements over a new, phased timeline, and small-to-medium sized firms that had been ...
For nearly three decades, Marko Dimitrijevic was an impresario in emerging market funds. His firm, Everest Capital, attracted early investments from George Soros and Dimitrijevic’s ...