Newly registered advisers should expect SEC examiners to come knocking in 2013.…
Read MoreWhat’s Next? Hedge Fund Enforcement Priorities for 2013
The SEC has brought more than 100 cases against hedge fund managers…
Read MoreThe Crowd Is Calling For JOBS Act Rules
While Democrats and Republicans currently do not agree on much, lawmakers for…
Read MoreOuch! State Actions Against Advisers Doubled in 2011
The number of enforcement actions involving investment adviser firms nearly doubled to…
Read MoreSEC Continues to Pursue Fraud Charges Against Hedge Funds
The SEC’s enforcement division continues to drop the hammer on hedge funds,…
Read MoreLawmaker Calling on SEC to Revisit JOBS Act Proposal to Lift Advertising Ban
Sen. Carl Levin is calling on the SEC to revisit its proposal…
Read MoreHedge Funds Seeking Clarity on JOBS Act’s Accredited Investors Rules
The JOBS Act will soon allow hedge funds to advertise to a…
Read MoreDoes It Add Up? Regulators Scrutinizing Assets Under Management
As predicted, securities regulators are increasing their scrutiny of advisers’ assets under…
Read MoreAdviser Oversight Bill May Turn on How You Define “SRO”
While legislation regarding adviser oversight has slowed, the debate has not. The…
Read MoreBetter Late Than Never: SEC Releases New Advertising and Solicitation Rules
The SEC has finally released its long-awaited proposed rules to eliminate the…
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