CCO at Citadel’s Aptigon departs after just 10 months

Natasha Kassian served as CCO for Citadel’s equity investment unit

Malaysia opens up short-selling regime

Big increase in the number of investors able to short and stock that can be shorted  

SEC investment management chief counsel retires

Douglas Scheidt counselled the agency on policies on valuation, fiduciary duty and fund governance

SEC investment management chief counsel retires

Douglas Scheidt counselled the agency on policies on valuation, fiduciary duty and fund governance

SEC highlights GDPR conflict for European clients

Commission to ‘tackle’ clash between record keeping rules and client privacy obligations

SEC: We’re not out to play ‘gotcha’ on CCO liability

CCOs in dual roles could face heightened scrutiny



Bruises from a nine-year battle with the SEC

Yorkville founder Mark Angelo expresses relief and anger after main fraud charges are dismissed


Preventing backlash: How firms can respond to whistleblowers

How to encourage internal reporting after court case incentivises SEC contact

Rise of the robots: How to deal with OCIE’s remote exams

With more remote exams being conducted, managers need to be ready