A new 11-page document from SIFMA offers advice for hedge funds interested in adopting anti-money laundering procedures. The Anti-Money Laundering Suggested Due Diligence Practices for ...
Cast this act as almost Madoff-ian. The SEC has filed legal action against a hedge fund manager, claiming Grant Ivan Grieve went to enormous lengths ...
The ink's not even dry on proposed bills that would register hedge funds and analysts are already warning the legislation would catch many more entities ...
The House has a bill to consider - the Hedge Fund Adviser Registration Act of 2009 (H.R. 711) - to go with the one the ...
Many predicted hedge fund registration this year and a bill has been introduced in Congress - the Hedge Fund Transparency Act of 2009 - that ...
If you needed one more sign that the government's likely to mandate registration of hedge funds, consider a new report from the President's Working Group ...
IA Week has learned that FINRA has directed select broker-dealers to send it information to verify the level and scope of investment advisory and hedge ...
Picture this: A fund you're considering investing with uses an accounting firm you've never heard of. You hire a private investigator to stake out the ...
Investments Advisers Act of 1940 Section 206(4) and Rule 206(4)-1(a)(2) The TCW Group, Inc. November 7, 2008 RESPONSE OF THE OFFICE OF ...