SPACs

FINRA seeks firms' P&Ps, compliance memoranda, and other internal guidance concerning SPAC-related activities

'We are concerned about misaligned incentives,' group says

Funds face 'stress-test'

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

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

It’s been said there’s lots of money to be made when an adviser creates a special purpose acquisition company. Now a federal lawsuit claims the ...

Private equity fund advisers welcoming foreign investors who can potentially exercise certain control in buyout deals involving portfolio companies may well spur a filing

Firms, execs misled on tech, hid founder's national security "threat," Commission claims

Tasks such as setting up bank accounts, creating legal entities, obtaining tax ID numbers, finding a transfer agent, scoring D&O insurance for officers, lining up ...

"The SEC’s Divisions of Investment Management, Examinations, and Enforcement continue to focus on advisers to private funds. It is important to hold investment advisers accountable ...