Accredited Crowdfunding Platforms Granted SEC No-Action Relief from Broker...
In two recent no-action letters the SEC granted exemptive relief from broker dealer registration to crowdfunding sites accepting only pre-screened accredited investors on the basis that the platforms...
View ArticleRiveles Law Group Alert: SEC Provides Guidelines for Use of Social Media...
In a recent report the SEC outlined best practices in compliance with Regulation Fair Disclosure for the dissemination of material non-public information by companies through social media...
View ArticleRiveles Law Group Comments on Regulation S-ID: SEC and CFTC Identity Theft...
To keep pace with cyber crime and identity theft, U.S. regulators have required regulated financial institutions to establish systematic risk prevention processes rather than relying on ad hoc...
View ArticleRiveles Law Group Comments on Recent FINRA Anti-Money Laundering Actions...
Riveles Law Group notes that recent FINRA actions highlight the need for member firms to implement a rigorous anti-money laundering compliance program including a system designed to effectively...
View ArticleRiveles Law Group Alert: SEC Signals Increased Utilization of Whistleblower...
The SEC's recent whistleblower awards in the Hicks case and comments by SEC officials signal increased reliance on whistleblowers to rout out securities industry crimes highlighting, again, the need...
View ArticleRiveles Law Group Alert: SEC Repeals Ban on General Solicitation for Private...
The SEC has now adopted final rules lifting an 80 year old ban on general solicitation and allowing hedge fund managers to advertise. Riveles Law Group believes the decision represents a necessary...
View ArticleSimon Riveles a Panelist at the Hedge Fund Association’s Student Symposium at...
The Symposium will be a unique opportunity for those interested in learning more about the hedge fund industry and the wide array of exciting job opportunities the industry offers in research and...
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