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 ...
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. ...
Private funds should pitch in their “fair share” to fix social imbalance and climate change, the chief executive of one of the world’s largest private ...