5/21/2012
Relief has escaped a compliance officer of a hedge fund who claims he was fired when he confronted the boss with allegations of front running. New York's highest court ruled this month that state law offers the compliance officer no protection.We first told you the tale of CCO Joseph Sullivan in 200 ...
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5/21/2012
You won't find "e-mail" mentioned in the Investment Advisers Act, after all it was passed in 1940. Forget about Investment Company Act rule 38a-1 also. The SEC's 2001 electronic recordkeeping rule doesn't contain the word.Surely Advisers Act rule 204-2, the books and records rule, would, right? Nope ...
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5/21/2012
OCIE officials have made no secret that they're going to set their sights on many of the newly registered private fund advisers (IA Watch, March 19, 2012). In a speech this month, Norm Champ, OCIE deputy director, signaled what examiners will be focusing on and 10 actions private fund advisers would ...
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