Category: Regulation

Lead Auditors Must Rotate – Or Pay Fine

David Kinnear November 11, 2014

Keeping Custodians Clean

David Kinnear November 10, 2014

The FCA on Social Media

Chris Turner November 8, 2014

“Stock Analyzer” Marketing Led to Securities Violation

David Kinnear November 5, 2014

Six Agencies Approve Final Risk Retention Rule

David Kinnear November 4, 2014

Broken Engagement? SEC uses data against advisers

David Kinnear November 3, 2014

Failure to Supervise Branch Leads to Sanctions

David Kinnear October 30, 2014

Tax Inversion Hedge Fund Fiascos

David Kinnear October 29, 2014

FICC To Expand Tri-Party Regulation

David Kinnear October 28, 2014

“Accredited Investor” Test Under Review

David Kinnear October 27, 2014

SEC Fines Former Hedge Fund Manager $358 Million

David Kinnear October 24, 2014

SEC: Penny Stock Gatekeeper Violations

David Kinnear October 23, 2014

Hedge Fund Managers May See Change Performance Based Compensation

HedgeThink October 21, 2014

Enhanced Investor Protection? It’s In The Cards

David Kinnear October 20, 2014

MSRB Confabs with SEC and FINRA

David Kinnear October 16, 2014

Fincen Uncovers Casino’s Bank Secrecy Act Crimes

David Kinnear October 14, 2014

SEC Weighs New Asset Management Rules

David Kinnear October 13, 2014

T+2 Deadline Looms

David Kinnear October 11, 2014

SEC Charges Reg Cap Violations

David Kinnear October 10, 2014

QE – Now QE2?

David Kinnear October 8, 2014

Largest Ever SEC Whistleblower case

David Kinnear October 6, 2014

SEC Probes Hedge Fund Research Firm

David Kinnear October 1, 2014

Focus on the positives arising from AIFMD for asset managers

Dominic Lawton-Smith September 30, 2014

Financial Finks: Ratting out to Regulators

David Kinnear September 29, 2014

SEC Charges Minneapolis Hedge Funds with Fraud

David Kinnear September 27, 2014