"Certain aspects of the implementing regulations may have resulted in a complex and costly compliance regime that is unduly restrictive and burdensome"
SEC Announces Fraud Charges Related to Wisconsin Investment Fund Litigation Release No. 24632 / September 30, 2019 Securities and Exchange Commission v. Bluepoint Investment Counsel, ...
(a) Exemption for transactions with portfolio affiliates. A transaction to which a fund, or a company controlled by a fund, and a portfolio affiliate of ...
Rule clarifies proprietary trading and ownership of hedge or private equity funds
I cannot ignore the thousands Rossi spent gambling.
These proceedings arise out of misrepresentations and omissions by Aberon and Krigsfeld concerning the assets and performance of a hedge fund called Aberon Capital Master ...
The Complaint alleged that Hu raised over $5 million from eight investors through false representations that prominent international law firms were legal counsel to the ...
SEC Obtains Sanctions Against Investment Adviser Litigation Release No. 24640 / October 10, 2019 Securities and Exchange Commission v. Thomas Conrad, Jr. et al., No. ...
The Investment Advisers Act of 1940Section 206 -- Prohibited Transactions by Investment AdvisersIt shall be unlawful for any investment adviser, by use of the mails ...
(a) Adoption of code of ethics. If you are an investment adviser registered or required to be registered under section 203 of the Act, you ...