When: March 12-14th, 2013 Where: Hyatt Regency Coconut Point, Bonita Springs, Florida Janaya Moscony, President & CEO of SEC3, will be presenting on Compliance. SECCC
When: April 21-24th, 2013 Where: Ritz Carlton – Grand Cayman Linda Smith; Managing Director of SEC Compliance Consultants, will moderate a panel addressing NFA/CFTC Latest Developments
In a rare acceptance of a case collaterally involving the U.S. Securities Laws, the U.S. Supreme Court accepted an appeal by Marc Gabelli and Bruce
In a speech before the Private Equity International Conference yesterday, Bruce Karpati, the chief of the Asset Management Unit of the SEC Enforcement Division reiterated
Securities and Exchange Commission (“SEC”) staff has suggested greater involvement and concern by Division of Enforcement staff with respect to examinations of registered investment advisers,
Private fund managers have been able to avoid registering with the SEC by limiting the number of funds they advised to fewer than 15. Now,
SEC Enforcement Examinations? Mr. Karpati indicated that “these Units work to generate expertise for the Division of Enforcement” and that “they consult on exams;
There were a number of important regulatory developments in November, which we will cover in detail over the coming weeks. Here are the top three
Another Record Year of Enforcement Actions against Investment Advisers The SEC has just released its most recent statistics on its enforcement program. Numerous actions were
When: November 20th, 2012 – 9:00 am to 11:00 am Where: Blank Rome LLP, The Chrysler Building, 405 Lexington Avenue, 22nd Floor Board Room When: November 20th, 2012
