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Searching Content indexed under Fund Management/ REITs by Stephen Mears ordered by Published Date Descending.
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1
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
4
SEC Announces Settlement With Adviser Found To Have Acted As An Unregistered Broker And Engaged In Conflicted Transactions
On June 1, 2016, the SEC announced a settlement with Blackstreet Capital Management, LLC and Murry N. Gunty, Blackstreet's managing member and principal owner.
United States
8 Jun 2016
5
SEC Proposes Higher Net Worth Threshold For Qualified Clients Under The Advisers Act
On Wednesday, May 18, 2016, the U.S. Securities and Exchange Commission (SEC) proposed to increase the net worth threshold for qualified clients from $2 million to $2.1 million.
United States
24 May 2016
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