Two years ago, the number of private equity funds topped hedge funds, and that trend continues as evidenced by the release of the latest aggregate ...
To their supporters, compensated non-attorney reps—aka NAR firms—are one of the few ways that a small investor can recoup losses in arbitration. To their detractors, ...
One sign many are taking from the new SEC FAQs is that the agency will reject industry pressure and implement its liquidity risk management rule ...
From a compliance perspective, anti-money laundering programs have always drawn special attention. AML was recently highlighted by FINRA in its first-ever consolidated exam findings report ...
FINRA has released its 2018 regulatory and examination priorities letter. The 10-page letter includes new topics as well as ongoing focus areas. Fraud, high-risk firms ...
Our coverage of the new tax law last week purposely left out news that the measure eliminates the ability of taxpayers to take certain miscellaneous ...
Regulators’ interest in bitcoin and other virtual currencies just took another big step. The National Futures Association now requires CPOs and CTAs to “immediately ...
A significantly flawed e-mail review system at Raymond James Financial Services allowed millions of e-mails over a nine-year period to evade “meaningful” review, according to ...
Call it the holiday gift that keeps on giving. Late last month the President signed the most sweeping tax reform legislation in 30 years. Many ...
Fort Worth, Texas-based TPG Capital Advisors ($51B in AUM) had disclosed to its private equity investors that it could receive accelerated monitoring fees after ending ...