High-net-worth clients from in and around the Southern United States are continuing to favour allocations to an array of niche credit strategies, according to a Dallas-based investment advisor.
Law form Venable has obtained a preliminary injunction on behalf of client Hedgeye Risk Management against former managing director Darius Dale for stealing the investment research house’s financial models before resigning to start his own competing business. Federal Judge Andrew
Whistleblower lawyers from Kohn, Kohn & Colapinto and the National Whistleblower Center have submitted comments for a proposed rule change to the SEC Whistleblower Program. The final vote on the rules is set for September 2021.
Gary Gensler, Chair of the US Securities and Exchange Commission (SEC), has revealed that the SEC is reviewing its whistleblower programme. Delivering keynote remarks at the National Whistleblower Center’s (NWC) National Whistleblower Day 2021 celebration, Gensler spoke of the critical
The Securities and Exchange Commission has announced fraud charges against Sean Wygovsky, a trader at a major Canada-based asset management firm, in connection with a long-running and lucrative front-running scheme that he perpetrated in the accounts of his close family
Phoenix American, a full-service fund administration provider for alternative investment funds, has published a new white paper examining the long anticipated emergence of the Regulation A+ fund structure after nine years of development following its creation in the 2012 JOBS
The Securities and Exchange Commission announced has obtained court approval of settlements with Telegram Group Inc and its wholly owned subsidiary TON Issuer In to resolve charges that Telegram’s unregistered offering of digital tokens called “Grams” violated the federal securities laws. The
Deutsche Bank has agreed to pay over USD10 million to settle two Commodity Futures Trading Commission (CFTC) enforcement matters.In the first matter, Deutsche Bank resolved federal court charges stemming from alleged violations of various swap data reporting and other regulatory
By Bao Nguyen, Nick Tootle and Stephen Ng — With a new administration in office, an evolving regulatory landscape, and tax changes potentially on the way, investment funds should be proactive about watching for any shifts in tax policy or
By A Paris — From the appeal of no income tax, to the supportive business community and the weather and lifestyle it offers, Florida has continued on its upward trajectory as an attractive location for financial and technology firms.
