These transactions were known within Rose Park both leading up to and at the time of signing the documents in March 2021, including by the ...

Best practices after firing a rep, SEC also has issues with staff reporting trades, ESG still big overseas, and much more

In 2025, managers will need to redouble their efforts to ensure they are meeting all of the various standards being applied to the industry

The adviser made false and misleading claims about its investment strategies and their performance, failed to present net performance information alongside gross performance, and was ...

The lack of any regulatory framework for sustainable strategies in the U.S. beyond the SEC fund-naming rule means managers will have a more difficult time ...

'The biggest area of enforcement that we continue to see is around private jets'

This new CFTC final rule requires a futures commission merchant to ensure a customer doesn't withdraw funds from its account with the FCM if the ...

Deutsche Bank Securities took more than two years to file SARs where the underlying AML investigation and subsequent SAR filing were prompted by receipt of ...

The adviser failed timely to distribute audited financial statements prepared in accordance with GAAP to investors in pooled investment vehicles that it advised

The SEC adopts changes to the B-D net capital rule and customer protection rule to permit certain B-Ds that perform a daily reserve computation for ...