Michael Abbriano 10/21/24 Michael Abbriano 10/21/24 Division of Examinations Announces 2025 Examination Priorities Read More Michael Abbriano 10/14/24 Michael Abbriano 10/14/24 Distress Signal: SEC Takes Action Against Distressed Credit Adviser Read More Michael Abbriano 9/27/24 Michael Abbriano 9/27/24 Enforcement Action Against Gaming Company Suggests Trading Based on Social Media Posts May Be a Bad Bet Read More Scott Brindley 9/20/24 Scott Brindley 9/20/24 CFTC Puts a Stop to Binary Options Involving Political Events Read More Scott Brindley 9/19/24 Scott Brindley 9/19/24 CFTC Approves Final Rule Regarding Exemptive Relief for CPOs and CTAs Read More Michael Abbriano 9/19/24 Michael Abbriano 9/19/24 Don’t Cross the SEC: Adviser Dinged for Inflated Valuations and Conflicted Cross Trades Read More Michael Abbriano 9/5/24 Michael Abbriano 9/5/24 Ghost of Private Fund Adviser Rules Haunts Recent Enforcement Action Read More Michael Abbriano 9/4/24 Michael Abbriano 9/4/24 Askari Foy, Former Head of the Examination Program in the SEC’s Atlanta Regional Office, joins Apogee as Managing Director Read More Michael Abbriano 8/30/24 Michael Abbriano 8/30/24 FinCEN (Finally) Subjects Advisers to AML Regulations Read More Michael Abbriano 8/28/24 Michael Abbriano 8/28/24 So Loan-some I Could Cry: Adviser Settles Enforcement Action Related to Handling of Private-Side Loan Information Read More Older Posts
Michael Abbriano 10/21/24 Michael Abbriano 10/21/24 Division of Examinations Announces 2025 Examination Priorities Read More
Michael Abbriano 10/14/24 Michael Abbriano 10/14/24 Distress Signal: SEC Takes Action Against Distressed Credit Adviser Read More
Michael Abbriano 9/27/24 Michael Abbriano 9/27/24 Enforcement Action Against Gaming Company Suggests Trading Based on Social Media Posts May Be a Bad Bet Read More
Scott Brindley 9/20/24 Scott Brindley 9/20/24 CFTC Puts a Stop to Binary Options Involving Political Events Read More
Scott Brindley 9/19/24 Scott Brindley 9/19/24 CFTC Approves Final Rule Regarding Exemptive Relief for CPOs and CTAs Read More
Michael Abbriano 9/19/24 Michael Abbriano 9/19/24 Don’t Cross the SEC: Adviser Dinged for Inflated Valuations and Conflicted Cross Trades Read More
Michael Abbriano 9/5/24 Michael Abbriano 9/5/24 Ghost of Private Fund Adviser Rules Haunts Recent Enforcement Action Read More
Michael Abbriano 9/4/24 Michael Abbriano 9/4/24 Askari Foy, Former Head of the Examination Program in the SEC’s Atlanta Regional Office, joins Apogee as Managing Director Read More
Michael Abbriano 8/30/24 Michael Abbriano 8/30/24 FinCEN (Finally) Subjects Advisers to AML Regulations Read More
Michael Abbriano 8/28/24 Michael Abbriano 8/28/24 So Loan-some I Could Cry: Adviser Settles Enforcement Action Related to Handling of Private-Side Loan Information Read More
