Private Funds

Fraud spanned globe, feds claim

Diastole’s Form ADV Part 2A brochure filed with the Commission, which Eden signed, disclosed that the Company was a Diastole service provider and that some ...

Enforcement may be a case study in what not to do

'Clock is ticking,' Chairman warns

'A regulator who always says "no" is not serving investors well,' Peirce says.

'A lot of fees and potential conflicts inherent,' Chairman says

Case another example in importance of delegating compliance authority

Chairman talks market structure, gamification, disclosures, China, ESG, fee disclosures, cybersecurity, exams.

Unproven theory may make firms hostage to P&Ps, side deals

Firm 'continues to lack' compliance infrastructure, regulators claim