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.
Mar 10 2014 | 11:33am ET
A huge thank you to all of the people who helped make last Thursday’s HFC NY Open Your Heart to the Children Benefit such a success. The charity gala raised nearly $2 million to prevent and treat child abuse in New York, New Jersey and Connecticut. Read more…