This review is focused on changes in the composition of the accredited investor pool since the definition was adopted; the extent to which accredited investors ...
In Fifth Circuit brief, agency attacks trade group standing, says Congress authorized changes to protect ordinary investors
'I would want to know what my gaps are by the end of the first quarter next year,' expert says
Three trade groups representing private fund managers have sued to block a pair of “arbitrary and capricious” SEC rules designed to bring more sunlight into ...
Enterprise-wide risk/opportunities require board, C-suite commitments
Regulators 'signaling as loudly as they can,' expert warns
'We need to pay attention to the scope of the duties created by the agreements we sign'
'Historically, these have been the major areas that have been stressed during marketing cycles, and I think the SEC has noticed that'
ECM failed to engage an independent public accountant to verify by actual examination at least once during each calendar year the REOC Funds’ funds and ...
Congress gave the SEC responsibility to monitor the private funds industry for systemic risk, and the “lords of finance” should consider regulation one side of ...