Custody

In 2018, 2019, 2020, and 2021, with respect to the Real Estate Fund and Opportunity Fund, Steward purported to rely on the Audited Financials Alternative ...

Garrison failed to timely deliver the audited financials to Ethika’s investors

The commission’s proposals could cause fundamental shifts in standard practice and market structure, if turned into final rules.

Confusion grips the industry over whether cryptocurrencies are securities under the regulatory jurisdiction of the SEC or whether they more rightly fit within the CFTC’s ...

Whether guidance or a proposed rule emerges, a key question likely to be answered is who can hold crypto assets?

Settlement shows SEC won't wait for new rules to crack down

'Many of these tokens… are potentially non-compliant,' Chairman says

The proposed regulations will place extra burdens on fund managers to comply. But there is cause for optimism, writes Gen II’s Robert Caporale.

'Perennial' problem has overseas advisers nervous

Court challenge a near certainty, while some wonder whether crypto is Chairman's target