Insider trading. Misappropriated money. Money raised from later investors used to pay interest to early investors. None of those things has happened in the private-equity ...
Mark March 1 on your calendar if your firm manages a large hedge fund and April 30 if it operates a sizable private equity fund. ...
Not since OCIE Chief Carlo di Florio raised issues about private equity last year (IA Watch, May 14, 2012) have these advisers received a clearer ...
Comb through the SEC's revised custody rule and you'll find many references that a private fund adviser can satisfy the requirement for a surprise exam ...
We've given you updates before as the European Union moves to implement its Alternative Investment Fund Managers Directive (IA Watch, Oct. 22, 2012), which will ...
Now it's the turn for eight former board members of five mutual funds. They face legal action over alleged failings in carrying out their duties ...
With two recent no-action letters, the CFTC has made the holiday season for advisers to family offices and fund of funds. But these advisers have ...
Joseph Massoud, the founder of buyout firm Compass Group Management settled insider trading charges the Securities and Exchange Commission had brought against him.
If your firm participates in lending client securities - for example, for short selling arrangements - you should review the practice annually.You also should do ...
With a December 31st deadline bearing down to register as a commodity pool operator or commodity trading advisor and unanswered questions for fund of funds ...