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This matter concerns a failure to disclose conflicts of interest by Lyxor Asset Management, Inc. (“Lyxor”), an investment adviser, to certain of its clients arising ...
The SEC’s proposed Regulation Best Interest comes in at more than 100 pages (BD Watch, April 19, 2018) but that hasn’t stopped critics from swiftly ...
This corrects a few items in the earlier SEC proposal calling for a Form CRS.
Barcelona Strategies and Mario Hinojosa: More than $500,000 ordered paid by municipal advisor and...
These proceedings arise out of breaches of fiduciary duty by Barcelona, a municipal advisor based in Edinburg, Texas, and Hinojosa, Barcelona’s sole member and associated ...
Four pages may seem incredibly short when you have to stuff it with reams of data and required language while keeping it “easy to read” ...
A clear message went to private equity fund advisers this week: Keep your organizational docs current and be sure to inform your LPs of your ...
WCAS Management Corporation: Private equity fund adviser fined for failing to disclose a conflict...
This matter concerns an investment adviser’s disclosure failure regarding conflicts of interest between the adviser and its private equity fund clients and fund investors in ...
The Securities and Exchange Commission (“Commission”) is proposing new and amended rules and forms under both the Investment Advisers Act of 1940 (“Advisers Act”) and ...
Hypothetical Relationship Summary for a Registered Investment Adviser Prepared By SEC Staff – For Illustrative Purposes Only.
Hypothetical Relationship Summary for a Registered Investment Adviser Prepared By SEC Staff – For Illustrative Purposes Only.