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The SEC has rewrapped its case against one of two principal witnesses in the record-setting SAC Capital prosecution, months after a federal judge set aside ...
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. ...
The SEC asked private fund advisers and others in June about the wisdom of permitting non-accredited investors to participate in private offerings. The Commission heard ...
The SEC is pursuing fraud charges against two private hedge funds and their founders, who the Commission says bilked stricken former football players in what ...
It appears that Brenda Smith had a broad reach into the pockets of her hedge fund investors.  The SEC has charged Smith, her hedge fund ...
EMS also committed additional violations by failing to make and keep true and accurate order memoranda and copies of all written communications sent by such ...
stock share trading traders
SEC Bars Hedge Fund Manager Charged with Asset Mismarking and Insider Trading Litigation Release No. 24548 / July 29, 2019 Securities and Exchange Commission v. ...
You may wish to defer any trader’s bonus until after an audit is completed after finding out how a former portfolio manager at an unidentified ...
RELEASE Number 7979-19 July 18, 2019 CFTC Orders Former Hedge Fund Portfolio Manager to Pay More than $700,000 in Monetary Sanctions for Fraudulently Mismarking Swaps ...
You don’t have to be registered with the CFTC or even in the U.S. to face punishment by the regulator – as a Hong Kong-based ...
RELEASE Number 7955-19 July 2, 2019 CFTC Charges Hedge Fund with Violating Wheat Futures Speculative Position Limits Washington, DC — The Commodity Futures Trading Commission ...
In marketing materials and other related documents provided to clients, DBTCA disclosed that it relies on an independent, in-house research group (“Research Group”) that uses ...
If Matthew Rossi’s hedge fund venture were a star it would have streaked across the sky in a moment of awe – before crashing ingloriously. ...
Match your skill set against the ideal qualities of an effective CCO. Begin with knowing the Advisers Act, being empowered to enforce your firm’s compliance ...
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”) ...
The OCC, Board, FDIC, SEC, and CFTC (individually, an Agency, and collectively, the Agencies) are inviting comment on a proposal to amend the regulations implementing ...
Within days of an SEC action against Yorkville Advisors in 2012, the defendants filed a furious response, calling the claim of fraud “baseless,” “an egregious ...
Judge George B. Daniels of the United States District Court for the Southern District of New York granted in part and denied in part Defendants ...
Hedge fund advisers wouldn’t necessarily expect to find disclosure lessons in an SEC enforcement case that touches on the 1983 Beirut bombing that killed 300 ...
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