Bill Myers
A private fund isn’t a personal fund, and the SEC has just driven the point home by barring a Maryland investment adviser for helping himself ...
Digital advisors and broker-dealers sprung up as a way to simplify the lives of ordinary investors. Now those companies that famously disrupted the financial services ...
A New York private equity fund adviser has agreed to pay nearly $1.9 million to settle SEC accusations that it hid management fees from its ...
Even as the SEC is weighing changes to its fund valuation rules, it hasn’t stopped enforcing current ones, as mutual fund adviser Semper Capital Management ...
Proposed SEC rules that would allow registered investment companies to delegate fund valuations to their investment advisers represent an excellent opportunity for IAs to get ...
Private equity or hedge funds that took out loans designed to help small businesses survive the coronavirus meltdown now have until May 7 to return ...
A Boston-based private fund adviser mislabeled one of its drilling assets in a marketing brochure and will now be $1 million lighter for it. In ...
The SEC is seeking comment on new regulations that would allow boards of registered funds to delegate valuations to firm investment advisers—regulations that if adopted ...
The SEC on April 24 announced that it had formed a 12-member committee that will monitor precarious markets as the coronavirus crisis continues its horrible ...
A New York investment adviser will pay $35 million to settle claims that it sold tens of millions of dollars in phony loan assets to ...