On October 17, the Securities and Exchange Commission (“SEC”) charged New Jersey-based Yorkville Advisors LLC (“Yorkville”), its founder Mark Angelo (“Angelo”), and its Chief Operating
After the Commodity Futures Trading Commission (“CFTC”) rescinded certain exemptions numerous advisers must now evaluate their registration requirements (please see our previous communiqués here on
After the Commodity Futures Trading Commission (“CFTC”) rescinded certain exemptions, numerous advisers must now evaluate their registration requirements (please see our previous communique here on the
After the Commodity Futures Trading Commission (“CFTC”) rescinded certain exemptions, numerous advisers must now evaluate their registration requirements (please see our previous communique here on the
As mentioned in our September 27th Communique, the SEC has started to send a letter to all newly registered advisers of private funds. The letter
When: October 1st, 2012 Where: The Union League, Philadelphia Janaya Moscony, CEO and President of SEC3, will take part in the Sub-Advised Funds Compliance Forum sponsored
When: October 31st, 2012 Where: The Chrysler Building, Blank Rome, LLP, 405 Lexington Avenue,New York, NY 10174, 22nd Floor Boardroom Chief Compliance Officer Roundtable
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
Andrew Bowden, Deputy Director of the Securities and Exchange Commission’s (“SEC”) Office of Compliance Inspections and Examinations (“OCIE”) and in charge of OCIE’s national examination
When: September 24th, 2012 Where: Loews Philadelphia Hotel Janaya Moscony, President of SEC3, will take part in the panel discussion “Meeting Your Responsibility with Advertising,
