Investment Advisers

Subscribe to Investment Advisers via RSS

Legislation Amending Volcker Rule Passes in House

By Steve Quinlivan on 04/27/2016

…
Continue Reading Legislation Amending Volcker Rule Passes in House

Brokaw Act to Increase Transparency of Activist Hedge Funds

By Steve Quinlivan on 03/21/2016

…
Continue Reading Brokaw Act to Increase Transparency of Activist Hedge Funds

SEC Permits Investment Adviser to Submit Shareholder Proposal on Behalf of Client

By Steve Quinlivan on 03/11/2016

…
Continue Reading SEC Permits Investment Adviser to Submit Shareholder Proposal on Behalf of Client

Three Bills Proposing Amendments to the Federal Securities Laws Gain Traction in Congress

By Steve Quinlivan on 02/03/2016

…
Continue Reading Three Bills Proposing Amendments to the Federal Securities Laws Gain Traction in Congress

SEC 2016 Examination Priorities for Private Equity and Hedge Funds

By Steve Quinlivan on 01/14/2016

…
Continue Reading SEC 2016 Examination Priorities for Private Equity and Hedge Funds

SEC Warns on Outsourced Chief Compliance Officers

By Steve Quinlivan on 11/30/2015

…
Continue Reading SEC Warns on Outsourced Chief Compliance Officers

SEC Nabs Private Equity Sponsor for Conflicting Investments

By Steve Quinlivan on 11/25/2015

…
Continue Reading SEC Nabs Private Equity Sponsor for Conflicting Investments

SEC Preparing to Move Forward on Accredited Investor Definition

By Steve Quinlivan on 11/22/2015

…
Continue Reading SEC Preparing to Move Forward on Accredited Investor Definition

“Recidivist” Custody Rule Violators Settle SEC Charges

By Steve Quinlivan on 11/19/2015

…
Continue Reading “Recidivist” Custody Rule Violators Settle SEC Charges

SEC Finalizes Regulation Crowdfunding — Intermediary Requirements

By David Jenson on 11/11/2015

…
Continue Reading SEC Finalizes Regulation Crowdfunding — Intermediary Requirements