Results of the first quarter Phoenix Management “Lending Climate in America” Survey signal that lenders’ expect private equity regulation will occur despite the outcome of the presidential race. More than half (57%) of lenders responded that regardless of the presidential outcome or economic climate, PE regulation will be reviewed in
The Securities and Exchange Commission has charged the former CEO of the California Public Employees’ Retirement System (CalPERS) and his close personal friend with scheming to defraud an investment firm into paying USD20 million in fees to the friend’s placement agent firms. The SEC alleges that former CalPERS CEO Federico
The Federal Reserve Board has announced its approval of a statement clarifying that an entity covered by section 619 of the Dodd-Frank Wall Street Reform and Consumer Protection Act, or the so-called Volcker Rule, has the full two-year period provided by the statute to fully conform its activities and investments,
President Obama on 5 April, 2012 signed into law the Jumpstart Our Business Startups Act (JOBS Act), which seeks to eliminate certain restrictions on capital formation and to encourage economic growth in the United States by “improving access to the public capital markets for emerging growth companies,” a new category
The Securities and Exchange Commission has obtained an emergency court order to freeze the assets of St Louis-based private investment funds and management firms after suing them and their principal for a scheme to defraud investors. The SEC alleges that Burton Douglas Morriss diverted more than USD9 million of investors’
The Securities and Exchange Commission has filed an emergency enforcement action to stop a fraudulent scheme targeting investors seeking coveted stock in Internet and technology companies like Facebook and Groupon in advance of a public offering. The SEC alleges that Florida resident John A Mattera and several other individuals carried
The Commodity Futures Trading Commission (CFTC) has approved a final rule requiring certain advisors to private funds that are dually registered with the CFTC and the Securities and Exchange Commission (SEC) to report information to the SEC for use by the Financial Stability Oversight Council (FSOC) in monitoring risks to
The Securities and Exchange Commission (SEC) has voted unanimously to adopt a new rule requiring certain advisers to hedge funds and other private funds to report information for use by the Financial Stability Oversight Council (FSOC) in monitoring risks to the U.S. financial system. The rule, which implements Sections 404
The Securities and Exchange Commission has charged a Long Island-based investment adviser with defrauding investors in hedge funds investing in PIPE transactions and misappropriating more than USD1 million in client assets for his personal use. The SEC alleges that Corey Ribotsky and his firm The NIR Group LLC repeatedly lied
The Securities and Exchange Commission (SEC) has charged two Florida men with operating a Ponzi scheme disguised as a purported private equity fund that fraudulently raised approximately USD22 million from more than 100 investors, many of whom were Florida teachers or retirees. According to the SEC’s complaint filed in US
12 November, 2026 – 5:00 pm
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12 February, 2026 – 8:00 am
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