Registered advisers struggle with registration, fees, valuations, conflicts of interest and MNPI, Commission data shows
'Hundreds of billions of dollars in fees and expenses are standing between investors and businesses'
A jury in a Boston federal court has determined that hedge fund adviser Lemelson Capital Management and its principal Gregory Lemelson violated the anti-fraud provisions ...
It’s not the sort of correspondence you want to find coming from your regulator. A source has shared with RCW an e-mail from the SEC’s ...
Rulemaking-by-enforcement may be coming to private funds
The SEC is scheduled to publish proposed new rules on ESG metrics any day now, but neither registered investment advisers nor private fund advisers must ...
Greater scrutiny emerges of asset managers' net-zero commitments as the conference agenda moves to finance.
“Hemp,” Thomas Jefferson once wrote, “is of first necessity to the wealth & protection of the country.” Three centuries on, Jefferson’s political descendants are beginning ...
Funds should be under no illusions: At the stroke of midnight on New Year’s Eve, the LIBOR standard will die, America’s top banking regulator says. ...
SEC examiners are focusing on private funds’ compliance with the custody rule, and outside auditors may not be helping, a compliance expert cautions. “We’re seeing, ...