An embattled private fund is distancing itself from the former SEC official it hired to run its own compliance program. GPB Capital says it was ...
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 ...
New York Attorney General Letitia James has filed suit against an investment adviser/broker-dealer who she says forged documents, violated the terms of a PPM and ...
The SEC has rewrapped its case against one of two principal witnesses in the record-setting SAC Capital prosecution, months after a federal judge set aside ...
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 ...
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 SEC has filed civil fraud charges against a pair of New England men and the private fund they ran—a fund that Massachusetts regulators say ...
What cyber challenges currently exist in the industry? Adam Fletcher, Blackstone Right now I’m thinking a lot about third party risk, with “cloud” being a ...
Changes to FINRA’s rules on who can buy or sell initial equity public offerings or new issues open doors not just for broker-dealers but—potentially—private fund ...
A former healthcare analyst at a private fund has agreed to a three-year bar and will pay nearly $135,000 to settle claims that he helped ...