House Financial Services Committee Votes To Repeal And Replace Dodd-Frank -
On September 13th, the House Financial Services Committee approved the Financial CHOICE Act of 2016 to repeal and replace key parts of the 2010...more
10/5/2016
/ Broker-Dealer ,
Class Action ,
Commercial Real Estate Market ,
Consumer Financial Protection Bureau (CFPB) ,
Cyber Threats ,
Dodd-Frank ,
Enforcement Actions ,
Financial Institutions ,
FinTech ,
FSOC ,
OCC ,
Private Equity ,
Securities and Exchange Commission (SEC) ,
Whistleblowers
The Securities and Exchange Commission announced two settled enforcement actions against private equity fund advisers last week involving certain fee practices and potential conflicts of interest. Consistent with its...more
9/1/2016
/ Administrative Proceedings ,
Conflicts of Interest ,
Disclosure Requirements ,
Enforcement Actions ,
Excessive Fees ,
Investment Advisers Act of 1940 ,
Private Equity Funds ,
Registration Requirement ,
Securities and Exchange Commission (SEC) ,
Settlement ,
Transparency