Hedge fund advisers are having some advertising and marketing compliance issues and 2015 will see SEC examiners focus on retiring investors. These nuggets were among ...
The fallout from the 2008 collapse of Lehman Brothers continues. This time the cost is $15 million—the penalty Barclays Capital ($12.9B in AUM) will pay ...
Even the SEC recognizes its advertising and marketing rules for advisers aren’t easy. “Advertising and marketing is a really challenging and difficult area,” said ...
It is no longer the golden age for deal and monitoring fees.
The good news: the SEC found the firm’s compliance manual contained policies and procedures “reasonably designed to prevent several violations of the Advisers Act.” The ...
The wait’s over if you’re among those dually-registered advisers that hung back on using the new general solicitation authority to advertise private funds because you ...
Hedge fund advisers lured by rapid growth in the more than $300 billion alternative mutual funds market are increasingly becoming involved with the funds either ...
The SEC is 90% toward tackling its mandated Dodd-Frank rulemaking. In recent testimony before the Senate Banking Committee, Chair Mary Jo White noted that Dodd-Frank ...
Faking research expenses, portfolio pumping and marking the close are all featured in an SEC enforcement action announced this month against a Minneapolis-based hedge fund ...
Demonstrating how portfolio company problems can quickly become sponsor problems, Desmond “Des” Hague, the Centerplate Inc CEO caught on tape kicking a one-year-old dog in his care, resigned ...