Artis Financial Management was at least proactive in having a written policy requiring its employees to notify the firm’s CCO of any potential material nonpublic ...
The SEC has reached a new single year high in the number of enforcement actions brought in a fiscal year. The Commission announced Oct. 11 ...
Billionaire hedge fund manager Leon Cooperman employed a long-held strategy: accumulate large positions in publicly-traded companies and develop close relationships with their senior executives. When ...
Private equity’s lobbying arm scored an important victory earlier this month when the U.S. House of Representatives passed the Investment Advisers Modernization Act of 2016, ...
Private equity firms continue to strengthen disclosure to limited partners about co-investment programs as the SEC maintains its emphasis on transparency, according to a lawyer who works with GPs. ...
When SEC examiners announced two years ago that they were coming in, PE fund adviser WL Ross & Co. ($4.5B in AUM) reviewed its approach ...
This time of year usually produces the SEC’s report on how it uses your Form PF data. It’s little surprise that much of the agency’s ...
SEC Enforcement director Andrew Ceresney was quick to point out “a common theme” in the Commission’s recent enforcement actions against private equity firms: a failure ...
Issuers of medium and long-term bonds and notes paid out more than $100 million in early redemptions as the result of misrepresentations by a hedge ...
This month ‘s largest settlement ever for violating federal law mandating notifying the government of certain large stock acquisitions is shaking the hedge fund industry ...