Eric Erb admits he was “tormented with shame and grief,” which drove him last year to direct his lawyer to confess his crime to authorities. ...
It seems Riordan Lewis & Haden ($707M in AUM), a Los Angeles-based private equity fund adviser, was intent on getting money from the government one ...
The credentials heralded by the hedge fund adviser principal were certainly impressive—an MBA in finance from Dartmouth, a prior portfolio manager with Bear Stearns, a ...
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 ...
A new final rule from the SEC tweaks two Advisers Act rules to bring them into agreement with Congress’s 2015 FAST Act (IA Watch, March ...
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 ...
Only one type of PE fund adviser tends to use its funds to pay to cover SEC RIA registration as well as related compliance costs. ...
Multiple compliance backstops were in place at hedge fund adviser Brahman Capital Corp. to safeguard confidential information. Despite the firm’s written P&Ps, code of ethics, ...
The SEC moved last week to finalize action against Lawrence Penn in a case of fraud that has stretched four years. The contest goes on ...
Historically the SEC has announced charges against firms not satisfying rule 105 of Regulation M in big bunches. This time it’s only the New York-based ...