Private Funds

In an unusually quick move, SEC commissioners Oct. 30 issued their opinion in a GIPS advertising case involving an investment advisory firm five days after ...

I thought I would highlight some of what we have learned about the risk profiles of private funds that will remain a focus for the ...

Bernath, directed three funds managed by his investment advisory firm to make loans to and investments in illiquid real estate and business ventures which he ...

The SEC has charged two Citigroup affiliates with defrauding 4,000 investors in two hedge funds that eventually collapsed in 2008 during the financial crisis, resulting ...

By all measures the investment adviser industry shows healthy growth. That’s one of the conclusions in the recently released 15th annual Evolution Revolution study from ...

The price for hiding serious conflicts of interest from clients has proven high for PageOne Financial and its sole owner and principal Edgar Page. On ...

Regulator interest in how private equity fund advisers assess and disclose fees and expenses has been as transparent as a stadium scoreboard. Irony exists in ...

As the four-year anniversary of the formation of the SEC’s Office of the Whistleblower approaches, SEC Chair Mary Jo White is declaring its awards program ...

The hint came at IA Watch’s spring compliance conference: on the horizon the industry could expect a number of conflicts cases to be recommended for ...

The SEC’s first-ever anti-retaliation whistleblower case has now yielded a “maximum” award payment of $600,000 for the head trader at a hedge fund adviser that ...