The SEC has unleashed a flurry of rule proposals that, if enacted as proposed, will significantly alter the regulatory, disclosure and reporting obligations for managers who cater to the private fund market.

May 31, 2022

Keywords: CCO, Compliance, Private Funds, SEC Enforcement, SEC Examinations

Categories & Topics: Business Ops/HR, Compliance, Compliance Programs, Enforcement, Examinations, Private Funds

SEC Charges Adviser and Portfolio Managers with Fraud in Connection with Complex Options Strategy

We’re sorry – you must be a member to view this content. Please log in.

May 25, 2022

Keywords: Private Funds, SEC Enforcement

Categories & Topics: Business Ops/HR, Compliance, Enforcement, Private Funds

New York-Based Adviser Fined for Causing Brokers to Violate Short Sale Rules

We’re sorry – you must be a member to view this content. Please log in.

May 13, 2022

Keywords: Books & Records, Compliance Policies, SEC Enforcement, Short Selling

Categories & Topics: Books & Records, Brokerage & Trading, Business Ops/HR, Compliance, Enforcement

Adviser, Principal Fined for Misrepresentations and Compliance Issues

We’re sorry – you must be a member to view this content. Please log in.

January 04, 2022

Keywords: Hedge Funds, SEC Enforcement

Categories & Topics: Business Ops/HR, Compliance, Enforcement, Private Funds

IAA Today Archive

Explore IAA Today

Your Search Results

You are now leaving Investment Adviser Association