Disclosure

It’s now officially a trend—the SEC bringing enforcement actions against investment advisers for defrauding professional athletes. For the third time since March (IA Watch, May ...

This matter concerns investment adviser James Caird Asset Management LLP’s (“JCAM”) and its principal Timothy Leslie’s misleading disclosures concerning the trading overlap and allocations between ...

Looks like it might be time to close the book on PageOne Financial and its sole owner and principal Edgar Page. The firm and Page ...

A Maryland-based private equity adviser and its principal owner will pay more than $3.1 million to settle SEC charges they performed brokerage services and charged ...

Look for the SEC to finalize its recommended rulemaking on liquidity risk management and the use of derivatives “this year.” In a May 20 address ...

Blue Ocean’s internal policies and procedures established that Winkelmann, as Blue Ocean’s CEO and CCO, was responsible for Blue Ocean’s compliance program. During the relevant ...

Materially inaccurate information in nearly three quarters of the variable annuity replacement applications approved by a MetLife broker-dealer subsidiary over a six-year period has yielded ...

Message received. The morning of the SEC’s Compliance Outreach Program April 19 officials counted cherry-picking among current exam/enforcement focus areas. That same afternoon the Commission ...

Issues tied to fees and expenses are “dominating” today’s SEC examinations of private fund advisers. That message was delivered by several Kirkland & Ellis partners ...

Predicted continued explosive growth of robo-advisers has regulators increasingly scrutinizing the automated investment model. One key concern is ensuring that robo-advisers are effectively meeting their ...