View the SECs Private Funds 2024 Statistics for the third quarter, which paint a picture of a maturing and evolving private fund landscape.

Private Funds 2024: Key Trends and Developments Private Funds

The US Securities and Exchange Commission (SEC) recently released Private Funds 2024 Statistics for the third quarter of 2024, which paint a picture of a maturing and evolving private fund landscape.

Private Funds 2024: Key Trends and Developments Private Fund

Private Funds 2024: Key Trends and Developments

Fintech trends for 2025 reveal a market where venture capital investors and fintech executives are navigating a landscape shaped by technological innovation...

Key Fintech Trends Ventuer Capital 2025

Key Fintech Trends 2025: Venture Capital Strategic Insights

The September 2024 ETF and Mutual Fund Statistics Report, highlights challenges faced by small investment fund managers amid ETF dominance, and more.

SEC-Registered Investment Fund Report: EFT Mutual funds Statistics Let's Support Small Asset Managers

The September 2024 statistics for the SEC-Registered Investment Fund Report is now available. EFT Mutual Funds Statistics.

SEC-Registered Investment Fund Report

14/01/2025 Securities and Exchange Commission (SEC) announced that three investment advisor representatives acting as unregistered brokers had settled charges.

investment advisor fraud USA SEC compliance unregistered brokers Tamir Shabat, Danny Z. Spiegel, and Joseph J. Orlando, Jr.,

On January 14, 2025, the Securities and Exchange Commission (SEC) announced that three investment advisor representatives acting as unregistered brokers, Tamir Shabat, Danny Z. Spiegel, and Joseph J. Orlando, Jr., had settled charges against them totaling approximately US $540,000.

3 Investment Adviser Representatives Acting as Unregistered Brokers Settle SEC Charges

Raising funds for your SaaS FinTech business is no easy task. Most SaaS founders say it is one of the most challenging aspects of running a business.

Raising funds for your SaaS Fintech business is no easy task. Most SaaS founders say it is one of the most challenging aspects of running a business.

Top 10 Strategies for Fundraising in the SaaS FinTech Sector

When we take a look at the number of SEC enforcement actions during the first quarter of this year, it is clear the SEC is intensifying its crackdown on misconduct with unprecedented intensity.

SEC Enforcement Actions for Q1 of 2025 indicates record number of actions

Record-Setting SEC Enforcement Activity in Q1

FinTech startups have the potential to become enormous earners and can help to revolutionize the financial services sector. However, with great opportunities come great regulatory responsibilities.

Legal Essentials Every Fintech Startup Must Know Before Raising Capital PART 1

Learn about all the essentials for your Fintech startup before you raise capital or apply for fintech startup funding.

Legal Essentials Every FinTech Startup Must Know Before Raising Capital

The Securities Exchange Commission (SEC) recently charged Ken Leech, the former Co-Chief Investment Officer of Western Asset Management Co., with violating antifraud and other provisions of federal securities laws. 

SEC Charges Ken Leech in Fraudulent Cherry-Picking Scheme

The Securities Exchange Commission (SEC) recently charged Ken Leech, the former Co-Chief Investment Officer of Western Asset Management Co., with violating antifraud and other provisions of federal securities laws.

The SEC set a historic precedent by securing $8.2 billion in financial remedies, the highest in its history, even as the total number of enforcement actions decreased compared to the prior year.

SEC Enforcement Highlights FY 2024: Record Financial Remedies amid Fewer Actions

On November 22, 2024, the U.S. Securities and Exchange Commission (SEC) announced its enforcement results for fiscal year 2024, reflecting a year of impactful actions despite a reduction in overall cases. The SEC set a historic precedent by securing $8.2 billion in financial remedies

Exempt offerings allow businesses to raise funds without complete registration under federal securities laws. Each exemption serves different business needs

Unlocking the Potential of Exempt Offerings: SEC's Market Statistics Report

Insights from the SEC's Market Statistics Report on Exempt Offerings.

Unlocking the Potential of Exempt Offerings

Small businesses are the backbone of the economy, driving innovation, creating jobs, and fueling economic growth. However, their path to securing the capital needed to thrive remains challenging.

Empowering Small Businesses and Startups: SEC Small Business Report

A Deep Dive into the SEC 2024 Small Business Capital Formation Report

Empowering Small Businesses and Startups

Delaware based Macquarie Investment Management Business Trust (“MIMBT”) is a statutory trust.  Their principal place of business is in Philadelphia, Pennsylvania.

Case Study: SEC v. Macquarie Investment Management Business Trust

Macquarie Group Limited is an Australian based financial services provider with a global presence operating in 34 markets. With 55 years of unbroken profitability, they manage assets to the value of $A916.8 billion. Their common stock trades on the Australian Securities Exchange.

Case Study:  SEC v. Macquarie Investment Management Business Trust

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