Delegates to Maryland’s state legislature have proposed laws that could see management fees and carry taxed at nearly 60% and 50%, respectively, and some market ...
Eric Lyons misused and misappropriated approximately $570,000 from the funds
"Certain aspects of the implementing regulations may have resulted in a complex and costly compliance regime that is unduly restrictive and burdensome"
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 ...
New federal law on foreign investments expands the Committee on Foreign Investment in the United States’ authority over “critical” technology, infrastructure and data management and ...
A New York Supreme Court justice has ordered the assets of a private fund and related broker-dealer frozen, after evidence revealed “a shocking level of ...
The future of debt markets have become a little clearer this year with the UK’s financial regulator, the Financial Conduct Authority, throwing its support behind ...
Constantine Rakkou is the chief financial officer and chief compliance officer for HKW, a private equity firm investing in growth-oriented companies with talented management teams ...
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 ...