It’s been three years since the Dodd-Frank reforms were signed into law. Title IV of the act included expanded registration and disclosure requirements for registered investment advisers. Last year, we wrote an analysis of the top Private Fund Administrators. Unsurprisingly, … Continue reading
Monthly Archives: October 2013
Auditor Ratification: Shareholders Appear Content
Since a change in regulation came about in 2010, it has become significantly more common for shareholders to vote on the company’s independent auditor. That change, first implemented by the NYSE and then approved by the SEC, limited a broker’s … Continue reading
IPO Pending? Top Private Placements in Tech Companies
With the economy seemingly headed towards recovery and unemployment stabilizing, it appears that the crisis of 2008 may finally be just a memory. At the very least, it seems that the capital markets are in good shape. IPOs are on the rise again, and market … Continue reading