Mar 14, 2018 3:39:32 PM
If you’re a fund manager, you’ll want to be in the know on 2018 SEC Priorities for the National Exam Program (“NEP”), which continues to advance in terms of data usage to analyze regulatory filings and trading activity.
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Oct 31, 2016 2:29:11 PM
On October 11th, 2016, the Securities and Exchange Commission announced that, in fiscal year 2016, it filed 868 enforcement actions exposing financial reporting-related misconduct by companies and their executives and misconduct by registrants and gatekeepers, as the agency continued to enhance its use of data to detect illegal conduct and expedite investigations.
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Oct 22, 2014 3:28:28 PM
What constitutes a claim under a Hedge Fund Directors and Officers Liability Insurance policy? While definitions vary from insurer to insurer, most insurance contracts define “claim” as any civil, administrative, arbitration, criminal or regulatory proceeding against any insured commenced by:
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inquiry,
Iron Cove Partners,
Lou D'Agostino,
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trigger
Apr 30, 2014 11:51:18 AM
APRIL 30th, 2014
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