Nov 6 2007 | 12:20pm ET
The Securities and Exchange Commission has reached a settlement with New Jersey-based hedge fund TCMP3 Partners and portfolio managers Walter Schenker and Steven Slawson in connection with 26 illegal unregistered securities offerings or private investment in public equities.
Jul 8 2014 | 10:48am ET
The surge in derivatives regulation is among the most complex challenges facing the financial services industry today. Northern Trust’s Joshua Satten recently spoke with FINalternatives to share insights into the challenges presented by new regulation and explore how the industry is responding. Read more…