A slew of financial services industry trade associations has banded together to voice their “strong support” for proposed cybersecurity legislation. SIFMA, the Financial Services Roundtable, ...
The gift arrived just days before last Christmas. Four SEC examiners were coming to town, and would arrive just as the New Year began. What ...
Earlier this month, the U.S. Second Circuit Court of Appeals denied the government’s request that the court reexamine its ruling in United States v. Newman. ...
While you’re likely to breathe a sigh of relief once SEC examiners have closed your exam – especially if the outcome were successful – take ...
While wrapping up its presence exam initiative by meeting with about 180 private equity firms, the Securities and Exchange Commission will continue reviewing limited partner agreements, private ...
TPG Capital was sued on Thursday by its former head of public affairs, who accused the private equity giant of ignoring his warnings that the ...
Lynn Tilton and her New York-based Patriarch Partners firms were hit with SEC fraud charges March 30 tied to concealing the poor performance of loan ...
In a bid to require the SEC to implement a more rigorous, fair and public process for the granting of disqualification waivers, Rep. Maxine Waters ...
It goes back some time, SEC examiners’ interest in GIPS at those firms that claim compliance with those standards (IA Watch, Nov. 22, 2010). The ...
Saying “it’s beyond time to act” on the lack of exams for IAs, SEC Chair Mary Jo White last week said permitting “a program of ...