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Searching Content indexed under Financial Services by Stephen Mears ordered by Published Date Descending.
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OCIE Issues Risk Alert On Principal And Agency Cross Transactions
On September 4, 2019, the SEC's Office of Compliance Inspections and Examinations (OCIE) released a new risk alert on certain principal and agency cross trading
United States
27 Sep 2019
2
Proposed Senate Bill Would Significantly Impact Certain Private Funds And Their Affiliates
Recently, a group of Congress members introduced into Congress Senate Bill 2155 named the Stop Wall Street Looting Act of 2019. Although unlikely to be enacted into law as drafted
United States
6 Sep 2019
3
SEC Fines Fund Manager $5 Million Over Undervaluation Of Assets
A recent action where the SEC focused on the presumably conservative undervaluation of assets suggests that it is more than willing to use valuation as a hook to deter "smoothing" of returns
United States
9 Jul 2019
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