Bill Myers
Broker-dealers and even investment advisers who are worried about complying with European research rules that conflict with American law shouldn’t wait to get their affairs ...
SEC enforcement should focus on finding individuals responsible for wrongdoing, Democratic Commissioner Allison Herren Lee told a crowd of compliance professionals at the Investment Adviser ...
Private funds will be the subject of their own separate risk alert later this year, OCIE Director Pete Driscoll says. “That’s something we’ve been getting ...
Activist investor Jeffrey Eberwein has gotten himself back into hot water with the SEC, this time for failing to disclose conflicts of interests as he ...
The SEC has closed the books again on one of the biggest insider trading scandals of this century. Under a consent decree entered in federal ...
Compliance officers often complain that they don’t have enough authority in their funds. Too far removed from decisions, too siloed from the bigger company, you’ve ...
Banks would be allowed to invest in several different kinds of private funds under a massive new set of reforms being considered by Washington regulators. ...
SEC Chairman Jay Clayton has told advocates that he is open to shortening the seven-day delay written into a proposed proxy advisor rule (RCW, Nov. ...
The latest proposed revision to the Volcker rule
The SEC’s pursuit of a personal injury lawyer accused of bilking stricken former football players out of their lives’ savings has dragged a private Houston ...