Oct 17 2013 | 1:03pm ET
The Securities and Exchange Commission's crackdown on insider trading has been a high-profile campaign that has included some high-profile hedge fund industry targets, but the market watchdog is also keeping a close eye on another aspect of private fund activity—transactions that may require the adviser to register as a broker-dealer.
“[T]he SEC is bringing cases in this area and has been sounding this alarm bell since April,” Perrie Weiner, global co-chairman of securities litigation at law firm DLA piper, told FINalternatives.
Dec 5 2013 | 9:51am ET
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