Private equity firms have charged hidden fees amounting to USD20 billion to companies, while some of the firm’s partners have sat on the company’s board of directors, according to a new study. Dr Ludovic Phalippou, Associate Professor of Finance, Saïd Business School and his co-authors Dr Christian Rauch and Professor
The SEC has charged a former Goldman Sachs employee accused of stealing nonpublic information in the firm’s e-mail system so he could trade illegally in advance of client mergers and make more than USD450,000 in illicit profits. The SEC has obtained an emergency court order to freeze the assets of
The Minister of Trade for Ontario, Canada, together with representatives from the DMZ at Ryerson University, a major university-based incubator in Canada, has visited the Innovation Birmingham Campus to sign a Memorandum of Understanding (MoU). The MoU will set the context for a programme of joint initiatives that will enable
In a decisive shareholder victory, the Delaware Court of Chancery has found that the two most senior officers of Dole Food Co breached their fiduciary duties in structuring a 2013 buyout of the iconic producer of fresh fruits and vegetables that drastically undervalued the company to the detriment of stockholders.
The Hedge Fund Association (HFA) has submitted a comment letter to the US Securities and Exchange Commission (SEC) as the regulatory agency considers proposed changes to the definition of an “accredited investor” under Rule 501 of Regulation D. The HFA is urging the SEC to reject an increase in the
Wells Fargo Advisors is to pay a USD5 million penalty to settle SEC charges that it failed to maintain adequate controls to prevent one of its employees from insider trading based on a customer’s non-public information. The SEC also charged Wells Fargo for unreasonably delaying its production of documents during
The US Securities and Exchange Commission (SEC) has charged a New York-based investment advisory firm with breaching its fiduciary duty to a pair of private equity funds. According to the SEC charges the firm shared expenses between a company in one fund’s portfolio and a company in the other fund’s
Indus Valley Partners (IVP) has extended its Managed Services offering to include regulatory filings for hedge funds, private equity funds and other alternative asset managers. IVP RAPTOR is a regulatory technology solution supporting over USD375bn in regulatory assets under management. IVP Managed Services will use this technology for supporting the
Regulation is slowing the push for alternative investments, according to research released by Cerulli Associates. "Alternative investments and other non-traditional asset classes are slowly becoming a larger part of the investment landscape," says Pamela DeBolt, associate director at Cerulli. "This acceptance is playing out in several areas: through increased allocations
In fiscal year 2015 the fees that public companies and other issuers pay to register their securities with the Securities and Exchange Commission (SEC) will be set at USD116.20 per million dollars. The securities laws require the Commission to make annual adjustments to the rates for fees paid under Section
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