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PF Rules & Regulatory Actions

TSP Capital also failed to comply with the requirement that every investment adviser registered with the Commission adopt and implement written P&Ps
The Division would not recommend enforcement action for distributing late a pool's audited financial statements due to certain unforeseeable circumstances
Hedge funds and private equity firms are primarily engaged in investment or speculation, and such businesses are therefore ineligible to receive a PPP loan
Monomoy failed to provide full and fair disclosure that it would separately charge the fund’s portfolio companies for those services
Old Ironsides failed to implement its policies and procedures in its Compliance Manual concerning the use of investment performance results in marketing materials
Naya Ventures neglected to take steps to ensure that an accounting firm was engaged to perform an annual audit as the partnership agreement required
Eric Lyons misused and misappropriated approximately $570,000 from the funds
"Certain aspects of the implementing regulations may have resulted in a complex and costly compliance regime that is unduly restrictive and burdensome"
The latest proposed revision to the Volcker rule
I cannot ignore the thousands Rossi spent gambling.
Although Barnett and Aven had never worked for a hedge fund or created a valuation model, they thought that they knew better than the rest ...
Fake documentation was used to deceive clients
Rule clarifies proprietary trading and ownership of hedge or private equity funds
The Commission’s complaint alleged that, from 2010 through 2014, while operating and advising a group of hedge funds through FMC and FMC S.R.L., Conrad failed ...
SEC Obtains Sanctions Against Investment Adviser Litigation Release No. 24640 / October 10, 2019 Securities and Exchange Commission v. Thomas Conrad, Jr. et al., No. ...
SEC Announces Fraud Charges Related to Wisconsin Investment Fund Litigation Release No. 24632 / September 30, 2019 Securities and Exchange Commission v. Bluepoint Investment Counsel, ...
ECP included the approximately $3.41 million of invested capital contributions attributable to the warrants in the base amount used to calculate management fees that were ...
On February 15, 2018, Lattanzio was convicted of two counts of securities fraud, violating 15 U.S.C. §§ 78j(b) & 78ff; and two counts of wire ...
The Complaint alleged that Hu raised over $5 million from eight investors through false representations that prominent international law firms were legal counsel to the ...
The Commission’s complaint alleged that Respondent operated EIMT as a Ponzi scheme. Through EIMT, Respondent obtained more than $40 million from approximately 150 investors, many ...
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