Finding A Way.

Archive

What Should Private Equity Funds Expect If the SEC Comes Calling? thumbnail

What Should Private Equity Funds Expect If the SEC Comes Calling?

The Securities and Exchange Commission has indicated that it will take a risk-based approach” to the examination of newly registered advisers to private equity funds. But what...

Hedge Fund in Trouble With SEC for Misleading Investors About Having “Skin in the Game” thumbnail

Hedge Fund in Trouble With SEC for Misleading Investors About Having “Skin in the Game”

The Securities and Exchange Commission (SEC) has settled charges against a hedge fund adviser that misled investors about their executives having “skin in the game.” Apparently managers...

Regulators Don’t “Like” How Advisers Are Using Social Media thumbnail

Regulators Don’t “Like” How Advisers Are Using Social Media

Social media use by advisers is on the rise. A recent survey by the Massachusetts Securities Division found that 44 percent of the state's investment advisers use...

Should Advisers Be Regulated by Robots? thumbnail

Should Advisers Be Regulated by Robots?

These days, it seems like everyone has an opinion about who should oversee registered investment advisers. As we have discussed on this blog, a controversial bill pending...

But How Much Will It Cost? Bachus SRO Hearing Centers on Impact to Small Advisers thumbnail

But How Much Will It Cost? Bachus SRO Hearing Centers on Impact to Small Advisers

The much-anticipated hearing on Rep. Spencer Bachus’ Investment Adviser Oversight Act of 2012 took place earlier this week. The bill proposes to shift oversight over investment advisers...

Are You Ready? SEC Outlines Enforcement Strategy for Newly Registered Advisers thumbnail

Are You Ready? SEC Outlines Enforcement Strategy for Newly Registered Advisers

The Securities and Exchange Commission (SEC) is in the process of identifying the unique risks presented by newly registered private equity (PE) and hedge funds, according to...

Do You Fit the Profile? SEC Releases More Data on Newly Registered Private Equity Funds thumbnail

Do You Fit the Profile? SEC Releases More Data on Newly Registered Private Equity Funds

The Securities and Exchange Commission (SEC) recently released additional data regarding newly registered advisers to private equity funds and hedge funds.  The data reveals that the SEC...

FINRA Wants to Make It Easier To Clear Your Good Name thumbnail

FINRA Wants to Make It Easier To Clear Your Good Name

The Financial Industry Regulatory Authority (FINRA) is seeking comment on proposed new rules that would make it easier for FINRA-regulated investment professionals to clear their names in...

Show Me the Money: SEC Changing the Way It Calculates the Financial Burden of New Rules thumbnail

Show Me the Money: SEC Changing the Way It Calculates the Financial Burden of New Rules

The U.S. Securities and Exchange Commission (SEC) is creating a new method for determining the cost of its regulations, Chairman Mary Schapiro recently stated in testimony before...

Get Out the Shovel: SEC Digging Into New Hedge Fund Data thumbnail

Get Out the Shovel: SEC Digging Into New Hedge Fund Data

The Securities and Exchange Commission (SEC) has started to comb through the wealth of data it now has regarding newly registered hedge funds and other private funds....

Page 16 of 22« First...10...1415161718...Last »