This final rule makes it unlawful for any officer, director, supervised person, or employee of a security-based swap dealer or major security-based swap participant to ...
These proceedings arise out of the deletion by JPMorgan of approximately 47 million electronic communications in about 8,700 electronic mailboxes relating to the period January ...
The Funds’ LPAs did not disclose the criteria that Insight would use to evaluate whether a portfolio investment suffered a permanent impairment
In the 79 months of miscalculations, PIMCO never identified any concerns with the sub-administrator’s calculation of the Fee Waiver amounts
Jennifer Campbell pleaded guilty to one count of wire fraud and was sentenced to a prison term of 36 months
PIMCO inadequately disclosed that paired interest rate swaps in PGP’s portfolio had become a material source of distributable income, which enabled PIMCO to maintain PGP’s ...
The SEC adopts Form PF amendments to require large private equity fund advisers to provide additional information to the SEC about the private equity funds ...
This is the DOE's second risk alert tied to the new IA ad rule
RTW failed to disclose conflicts of interest, made statements that omitted material facts, and failed to adopt reasonably designed written policies and procedures regarding RTW ...
Sciens’ Compliance Manual did not mention any valuation techniques or methodologies applicable to Level 3 Investments, and further lacked procedures designed to promote consistency in ...