Conflicts of Interest

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. ...

SEC Obtains a Preliminary Injunction Order, Including Asset Freeze, Against Purported Hedge Fund Manager, Moazzam "Mark" Malik

      Securities Exchange Act of 1934 — Rule 14a-8 Opportunity Partners L.P. Shareholder Proposal (Clough Global Equity Fund) April 16, 2015 Clifford J. ...

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 ...

Many eyes are watching to see how the SEC vs. The Robare Group ($150M in AUM) case plays out. Allegations of inadequate disclosures around conflicts ...

Emily Gordy spent 27 years as a financial regulator, most recently as FINRA’s senior vice president of enforcement before joining Shulman Rogers Gandal in Potomac, ...

This no-action letter from the SEC in 2015 relieves an investment adviser of certain requirements under the custody rule.

It’s an often stated maxim delivered at industry conferences: you don’t want your firm’s compliance issues to appear on page one of the Wall Street ...

PageOne, a registered investment adviser, and E. Page, its sole owner and principal, hid serious conflicts of interest from their advisory clients in connection with recommending ...

The adviser had set up a committee to deal with conflicts. The firm’s CFO and CCO formed the entirety of the “conflicts committee.” Problem was ...