USA - June 13 2019
Rule 105 of Regulation M may create more anxiety among compliance professionals in the hedge fund industry than any other SEC rule. It is a "strict...
Edward A Kwalwasser, Frank Zarb.
USA - June 11 2019
The SEC, in conjunction with the Colorado Bar Association and Colorado Society of Certified Public Accountants, recently sponsored the 51st Annual...
Hena M. Vora.
USA - May 13 2019
The DC Circuit recently released an opinion addressing the SEC’s administrative findings against registered investment adviser The Robare Group (TRG)...
Anthony M Drenzek, Joshua M Newville, Ariella E. Muller.
USA - February 20 2019
An increasingly sophisticated and active OCIE division, innovative market disruptors, a maturing credit cycle, and a philosophical change in how the...
Michael R Hackett, Timothy W Mungovan, Anthony M Drenzek, Joshua M Newville, William D Dalsen.
USA - October 15 2018
Former SDNY U.S. Attorney Preet Bharara and SEC Commissioner Jackson recently announced, via NY Times op-ed, the creation of the Bharara Task Force on...
Joshua M Newville.
