Kickstarter: The Rosie the Riveter of Investing?
Two recent studies report women have higher rates of success than men in funding their projects through crowdfunding sites like Kickstarter and Indiegogo.
SEC Using Hedge Fund Data on $8 Trillion in Assets in Exams, Enforcement
SEC tells Congress it is using compiled data from Form PF, now required of private fund advisors, to support its own regulatory programs.
Compliance at Financial Services Firms Falls Short
Compliance firm Cipperman finds that firms, especially in the alternatives space, tend not to invest enough in staying compliant.
Under the Hood: Protection From Cyber-Crime and Identity Theft—What You Need to Know
Financial advisors are increasingly targeted by identity thieves, so it's more important than ever that advisors protect their clients’ assets and information.
SEC Enforcement: Kansas Charged With Securities Fraud
In another action, a brokerage firm and its founder were charged with violating net capital requirements and falsifying data in an attempt to mislead examiners.
Aging Clients Mean Booming Market for Liquid Alts
Older clients with lower risk tolerance are fueling the growth of liquid alternative mutual funds, but their promise also holds peril.
Whistleblowers Abroad Not Protected Under Dodd-Frank, Court Rules
A federal appeals court dismissed a case brought by a whistleblower in China, saying Dodd-Frank's anti-retaliation rules didn't apply overseas.
New Hire Roundup: Piccone to Lead SEC Exam Program in Denver
In other personnel moves, WBI promoted Matt Woehnker, and David Brierwood joins the Preqin board.
As Marijuana Becomes Legal, a Hedge Fund Looks to Profit
Entrepreneur Leslie Bocskor foresees a $40 billion to $50 billion market for cannabis.
SEC, FINRA Enforcement: Reps Sold ETFs They Didn’t Understand
In other enforcement news, the SEC charged an energy firm and a stock promoter with defrauding investors about its oil reserves.