I have worked with a number of advisers who have never ever…
Read MoreTaking It To A New Level — SEC Awards Whistleblower Unprecedented $14 Million
The Securities and Exchange Commission awarded more than $14 million to a…
Read MoreWhat Are the Hallmarks of a Strong Compliance Program?
I thought it would be interesting to hear it from the horse’s…
Read MoreIs Policy Shift on the Way for SEC Settlements?
The SEC currently allows investment advisers and other registered entities to resolve…
Read MoreSEC Adviser Exams: What to Expect When an Examiner Comes Knocking
Given recent statements by the SEC Chairman Mary Jo White, the SEC…
Read MoreThe SEC Speaks at the New York City Bar March 8
Wayne Carlin, litigation partner at Wachtell, Lipton, Rosen & Katz, chaired a…
Read MoreThe SEC Gives a Heads-Up: Investment Adviser Exam Priorities for 2013
The SEC posted its examination priorities for 2013 on its website on…
Read MoreWill New SEC Head Mary Jo White Offer Fresh Perspective?
President Obama recently tapped Mary Jo White to head the SEC. In…
Read MoreInsider Trading Cases Continue to Mount Against Hedge Funds
Insider trading is increasingly becoming a top compliance concern for hedge fund…
Read MoreWhat’s On Tap for the SEC in 2013?
In its recent end of year report, the SEC laid out an…
Read More