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Searching Content indexed under Fin Tech by Samuel J. Waldon ordered by Published Date Descending.
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The Top Ten Regulatory And Litigation Risks For Private Funds In 2019
An increasingly sophisticated and active OCIE division, innovative market disruptors, a maturing credit cycle, and a philosophical change in how the private fund industry views and utilizes litigation are likely to lead to increased regulatory scrutiny and litigation risk for advisers (and their funds) in 2019.
United States
28 Feb 2019
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SEC Extends Registration Requirements For Investment Companies And Broker Dealers To ICOs And Other Digital Assets
Fund managers take note – after over a year of warning, this month the SEC announced a pair of settlement orders with respect to registration requirements for a fund ...
United States
28 Sep 2018
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