Regulator interest in how private equity fund advisers assess and disclose fees and expenses has been as transparent as a stadium scoreboard. Irony exists in ...
As the four-year anniversary of the formation of the SEC’s Office of the Whistleblower approaches, SEC Chair Mary Jo White is declaring its awards program ...
The president of a firm that claimed it was investing in personal injury lawsuits pleaded guilty on Thursday to engaging in a conspiracy to defraud ...
In April 2015, the Department of Justice put out these best practices for victims of cyber-attacks to consider following.
The hint came at IA Watch’s spring compliance conference: on the horizon the industry could expect a number of conflicts cases to be recommended for ...
The SEC’s first-ever anti-retaliation whistleblower case has now yielded a “maximum” award payment of $600,000 for the head trader at a hedge fund adviser that ...
A new guidance update from the SEC released April 28 encourages steps investment and fund advisers can take to improve their ability to repel cyber ...
A clear violation occurs if an adviser were to engage in a principal trade without obtaining the consent of the client. Advisers Act section 206 ...
Last year, we told you that OCIE had contracted with a Tennessee company, Capital Confirmation, to do electronic verification of accounts for custody inquiries during ...
The SEC has brought its first-ever case charging a firm and its CCO for failing to report a “material compliance matter” to a fund board. ...