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PF Rules & Regulatory Actions

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In an effort to clarify and simplify compliance with the implementing regulations, the final rule adopts revisions to the provisions that govern the relationship between ...
Fake documentation was used to deceive clients
Hedge funds and private equity firms are primarily engaged in investment or speculation, and such businesses are therefore ineligible to receive a PPP loan
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 ...
"Certain aspects of the implementing regulations may have resulted in a complex and costly compliance regime that is unduly restrictive and burdensome"
(a) Exemption for transactions with portfolio affiliates. A transaction to which a fund, or a company controlled by a fund, and a portfolio affiliate of ...
SEC Announces Fraud Charges Related to Wisconsin Investment Fund Litigation Release No. 24632 / September 30, 2019 Securities and Exchange Commission v. Bluepoint Investment Counsel, ...
The Investment Advisers Act of 1940Section 206 -- Prohibited Transactions by Investment AdvisersIt shall be unlawful for any investment adviser, by use of the mails ...
A Miami private fund adviser has been censured and will pay $350,000 in fines to settle SEC claims that it overcharged the real estate funds ...
BCM compliance manual stated that employees were required to “avoid establishing financial interests or outside affiliations that may create a conflict or appear to create ...
The SEC alleged that Murakami misappropriated investor funds for business and personal expenses and made approximately $1.3 million in Ponzi-like payments. The SEC also alleged ...
(a) Adoption of code of ethics. If you are an investment adviser registered or required to be registered under section 203 of the Act, you ...
(a) For the purposes only of section 5 of the Act, a notice, circular, advertisement, letter, sign, or other communication, published or transmitted to any ...
These proceedings arise out of misrepresentations and omissions by Aberon and Krigsfeld concerning the assets and performance of a hedge fund called Aberon Capital Master ...
Monomoy failed to provide full and fair disclosure that it would separately charge the fund’s portfolio companies for those services
Respondent caused false and misleading representations and omissions to be made to current and prospective investors of a New York-based hedge fund (the “Hedge Fund”) ...
Rule clarifies proprietary trading and ownership of hedge or private equity funds
I cannot ignore the thousands Rossi spent gambling.
After the fund administrator discovered the unauthorized withdrawals, Byun, on behalf of Denali Investors, entered into an agreement with the fund administrator to repay the ...
The complaint alleges that Scherr knew or should have known that Burns intended to and did sell the overvalued assets to the clients of his ...
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