Conflicts of Interest

New York private fund adviser GPB Capital is vowing to fight back against state and federal accusations that it was all an elaborate fraud. “We ...

“There is only one thing worse than being talked about,” said Oscar Wilde, “and that is not being talked about.” Private fund CCOs might beg ...

The settlement touches on violations of the adviser's fiduciary duty, undisclosed 12b-1 fees, errant fee calculations, suitability, hidden revenue sharing, conflicts, as well as sweep ...

Enforcement action tied to BlueCrest's transfer of top traders from its flagship hedge fund to a proprietary hedge fund

Advisers were encouraged to gather their business staff with compliance so that everyone “understands all of the revenue sources” coming into a firm

A Kansas private fund adviser thought it could save its clients a few bucks but it didn’t properly disclose or manage its cross-trading policies, and ...

A simple bank error and a malicious employee put a Silicon Valley venture capitalist at the center of what has now become a multi-count criminal ...

A former SEC examiner, once facing decades behind bars on accusations that he leaked secrets of ongoing investigations to sweeten his job prospects, has agreed ...

Three VALIC employees worked to steer union members to the advisory firm while being “deceptively identified” as union employees

In March of 2017, VFA disclosed for the first time the receipt of Revenue Sharing, but still did not fully and fairly disclose that conflict ...