NEWS & GUIDANCE
Senior SEC Enforcement and OCIE officials have been hinting at this one for a while—a private equity enforcement case centered around misallocated expenses. On June 29, the Commission delivered it in the form of the first ever charges against a PE adviser for “broken deal” expenses. The SEC charged...
Last week, the CFTC unanimously approved a new proposed rule designed to prevent U.S. swaps dealers from escaping its margin requirements by conducting business overseas. The proposal, if finalized, would set the rules for when the CFTC’s margin requirements would apply to uncleared swaps. All unc...
Call it wire hacker fraud. It is not the most sophisticated cyber-scam. But too often it works. The nub of the racket: a client’s e-mail account gets hijacked. The fraudster uses it to initiate a fraudulent wire transfer request. Seemingly dire circumstances appeal to the customer service instincts ...
Full text of the Securities Acts, final and proposed rules, enforcement actions and regulatory releases.
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Speeches from key industry regulators
Full listing of live events, on‑demand webinars (for members) and access to your CLE/CPE Tracker and certificates.