Displaying 25 results
GPB auditors to get back to work
The company told investors in November that a required audit was being postponed
Blueprint for expanding access to private markets
As the SEC considers changes to its accredited investor definition, it's time to do more to deliver the benefits of private markets to investors safely
Legal woes mount for Advisor Group broker-dealer that sold GPB funds
Triad Advisors reported three new investor claims related to the sale of the private placements
SEC member: Advertising rule overhaul may be too vague
Commissioner Allison Herren Lee expressed concern the changes would cause compliance uncertainty
Brokers must act in best interests of sophisticated investors, SEC says
The latest update to Reg BI frequently asked questions asserts that the rule applies to high-net-worth customers
