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Gavel

SEC charges two with insider trading on Pershing Square’s Herbalife announcement

Thu, 02/10/2014 - 06:00

The SEC has charged two individuals with insider trading on a hedge fund manager’s announcement that his fund had formed a negative view of Herbalife Ltd and taken a USD1 billion short position in its securities. »

Document signing

CFTC and ASIC sign MoU on supervision of cross-border entities

Wed, 01/10/2014 - 11:36

The US Commodity Futures Trading Commission (CFTC) has signed a memorandum of understanding (MoU) with the Australian Securities and Investments Commission (ASIC) on the supervision of cross-border entities. »

Clock

CFTC issues time-limited no-action relief for CDS clearing-related swaps

Tue, 30/09/2014 - 16:01

The US Commodity Futures Trading Commission (CFTC) has issued an extension to no-action letter 13-86 which provided time-limited relief relating to certain CDS clearing-related swaps. »

Marketing

JOBS Act changing hedge fund communications, says study

Tue, 30/09/2014 - 14:00

Hedge funds are beginning to take advantage of new communications channels one year after the enactment of the JOBS Act, according to a Peppercomm study. »

Gavel and scales

Barclays Capital charged with compliance failures following acquisition of Lehman’s advisory business

Wed, 24/09/2014 - 10:03

The US Securities and Exchange Commission (SEC) has charged Barclays Capital with failing to maintain an adequate internal compliance system after its US wealth management business acquired the advisory business of Lehman Brothers in September 2008.  »

Traders

CFTC provides time-limited no-action relief for SEFs from block trade requirements

Mon, 22/09/2014 - 12:04

The US Commodity Futures Trading Commission (CFTC) has provided time-limited no-action relief concerning swap execution facility (SEF) access for block trade execution. »

Barred sign

CFTC revokes registrations of SAC Capital Advisors

Wed, 17/09/2014 - 16:06

The US Commodity Futures Trading Commission (CFTC) has filed a notice of intent to revoke the registrations of SAC Capital Advisors LLC and SAC Capital Advisors LP. »

Gavel

SEC sanctions 19 firms and one individual trader for short selling violations

Wed, 17/09/2014 - 14:05

The Securities and Exchange Commission (SEC) has imposed a further 20 sanctions in its continuing enforcement initiative against hedge fund advisers and private equity firms illegally participating in stock offers short selling the stock during a restricted period. »

Regulation

IVP extends Managed Services model to include support for global regulatory filings

Wed, 17/09/2014 - 13:00

Indus Valley Partners (IVP) has extended its Managed Services offering to include regulatory filings for hedge funds, private equity funds and other alternative asset managers. »

Gavel and scales

CFTC fines Morgan Stanley Smith Barney for supervision and records failures

Tue, 16/09/2014 - 11:49

The US Commodity Futures Trading Commission (CFTC) has fined Morgan Stanley Smith Barney, a CFTC-registered futures commission merchant, for improper supervision and records violations.  »

Edward T. Tilly

CBOE and C2 in FINRA discussions over regulatory services agreement

Mon, 15/09/2014 - 16:00

The Chicago Board Options Exchange (CBOE) and C2 Options Exchange are in discussions with the Financial Industry Regulatory Authority (FINRA) on a potential agreement for FINRA to provide certain regulatory services to their options markets. »

Magnifying glass

SEC creates new office in division of economic and risk analysis

Mon, 15/09/2014 - 13:46

The Securities and Exchange Commission (SEC) is creating a new office within the division of economic and risk analysis (DERA) that will coordinate efforts to provide data-driven risk assessment tools and models to support a wide range of SEC activities.  »

Slow

Regulation slows push for alternatives, says Cerulli


Thu, 11/09/2014 - 12:05

Regulation is slowing the push for alternative investments, according to research released by Cerulli Associates. »

Letter

CFTC issues exemptive letter providing relief from certain JOBS Act SEC amendments

Thu, 11/09/2014 - 11:09

The US Commodity Futures Trading Commission (CFTC) has issued an exemptive letter which provides relief from certain provisions restricting marketing to the public. »

Howard Groedel, Ulmer & Berne LLP

Harmonisation of CFTC and SEC hedge fund advertising rules is a ‘sensible step’

Thu, 11/09/2014 - 09:23

Securities attorney Howard Groedel of Ulmer & Berne LLP, comments on the CFTC’s easing of hedge fund advertising restrictions…  »

Gavel

CFTC charges Florida attorney with aiding and abetting illegal metals transactions and fraud

Thu, 11/09/2014 - 06:01

The US Commodity Futures Trading Commission (CFTC) has filed a civil enforcement complaint against Florida attorney Jay Bruce Grossman charging him with aiding and abetting multiple clients in the operation of illegal and fraudulent precious metals schemes. »

Letter

CFTC issues no-action letter for CPOs with wholly-owned trading subsidiaries

Tue, 09/09/2014 - 16:00

The US CFTC’s Division of Swap Dealer and Intermediary Oversight (DSIO) has issued a no-action letter for commodity pool operators (CPOs) that are non-registered investment companies that use wholly-owned trading subsidiaries to trade commodity interests. »

Gavel

SEC charges HF manager with bilking investors and portfolio pumping

Tue, 09/09/2014 - 11:05

The Securities and Exchange Commission (SEC) has charged a Minneapolis-based hedge fund manager, his investment advisory firm and an accomplice with bilking investors in two hedge funds out of more than USD1m.  »

Report

AIMA updates due diligence questionnaire for hedge fund managers

Wed, 03/09/2014 - 11:45

The Alternative Investment Management Association (AIMA), the global hedge fund industry body, has published an updated edition of its flagship due diligence questionnaire (DDQ), the AIMA DDQ for Hedge Fund Managers. »

UK flag

CFTC issues rule for deposit of customer funds with UK depositaries

Mon, 01/09/2014 - 06:02

The US Commodity Futures Trading Commission (CFTC) has issued an interpretation of Commission Regulation 30.7(c) under the Commodity Exchange Act.  »

Regulation

SEC adopts asset-backed securities reform rules

Thu, 28/08/2014 - 14:33

The SEC has adopted revisions to rules governing the disclosure, reporting, and offering process for asset-backed securities (ABS) to enhance transparency, better protect investors and facilitate capital formation. »

Credit rating agencies

SEC adopts credit rating agency reform rules

Thu, 28/08/2014 - 12:00

The Securities and Exchange Commission (SEC) has adopted new requirements for credit rating agencies to enhance governance, protect against conflicts of interest and increase transparency.  »

Gavel and scales

CFTC fines Merrill Lynch USD1.2m for supervision failure

Thu, 28/08/2014 - 06:01

The US Commodity Futures Trading Commission (CFTC) has issued an order filing and settling charges against Merrill Lynch for supervision failures relating to futures exchange and clearing fees. »

Electronic trading floor

CFTC issues no-action relief on confirmations of uncleared swap transactions

Wed, 20/08/2014 - 13:33

The US Commodity Futures Trading Commission (CFTC) has issued a no-action letter providing swap execution facilities (SEFs) time-limited, conditional relief from certain data reporting and record-keeping requirements in relation to confirmations required for uncleared swap transactions. »

Regulation

CFTC issues no-action letter for Clearing Corporation of India Ltd

Wed, 20/08/2014 - 12:15

The US Commodity Futures Trading Commission (CFTC) has issued a time-limited no-action letter it will not take enforcement action against Clearing Corporation of India Ltd (CCIL) for failing to register as a derivatives clearing organisation (DCO). »

Regulation

SEC report details use of Form PF data

Tue, 19/08/2014 - 13:49

The SEC’s second annual staff report on the use of data collected from private fund systemic risk summarises how the data received from Form PF filers is used to protect investors and the integrity of the markets. »

Letter

CFTC issues no-action letter for Chicago Mercantile Exchange

Tue, 19/08/2014 - 12:00

The US Commodity Futures Trading Commission (CFTC) has issued a no-action letter stating that it will not take enforcement action against the clearing house of the Chicago Mercantile Exchange. »

Barred sign

NFA revokes registration of floor trader Joel W Himel

Wed, 13/08/2014 - 11:20

The National Futures Association (NFA) has revoked the registration of Joel W Himel of Vernon Hills, Illinois, a floor trader at the Chicago Board of Trade (CBOT). »

Fraud

Bahamas brokerage firm charged over fraudulent hedge fund scheme

Tue, 12/08/2014 - 06:15

The Securities and Exchange Commission (SEC) has charged a Bahamas-based brokerage firm and its president for enabling a fraud that was halted when the SEC charged the hedge fund manager at the centre of the scheme. »

Oil

Crude oil traders hit with USD13m CFTC fine

Wed, 06/08/2014 - 06:00

The US CFTC has obtained a USD13 million civil monetary penalty against defendants Parnon Energy, Arcadia Petroleum, Arcadia Energy and crude oil traders James T Dyer and Nicholas J Wildgoose. »

features
Article
Preqin Special Report: Hedge Fund Manager Outlook – Augst 2015

In this excerpt from Preqin Special Report: Hedge Fund Manager Outlook, we take a closer look at the level of competition in the industry today and use our latest survey results to reveal fund manager predictions for asset growth for the rest of 2015. ... »

Article
survey

The Preqin Special Report: Private Debt Fund Manager Outlook features exclusive survey results drawn from over 100 private debt fund managers worldwide. This extract discusses what fund managers have highlighted as the biggest issues facing the industry and their views on regulation. ... »

Special report
Cybersecurty for Hedge Funds

Cybersecurity for Hedge Funds

Thu, 30/07/2015 - 11:00

Cybersecurity is no longer simply an IT issue, it is now a business issue. This is the conclusion of the experts and fund managers around the world whose opinions were polled for this landmark Hedgeweek Special Report, which outlines Best Practices for Cybersecurity in a fast-changing environment where managers need to keep several steps ahead of cyber criminals... »

Article
EU Flag

Hedge fund manager outlook on the AIFMD

Wed, 22/07/2015 - 19:52

The introduction of the Alternative Investment Fund Managers Directive (AIFMD) into European law in 2013 was part of a series of moves towards greater regulatory oversight of the hedge fund industry in recent years. In our survey, we asked hedge fund managers for their views on the effect of these new regulations on the industry as well as their expectations about the impact of the AIFMD on their firm over the next 12 months, the results of which are analyzed in this extract from the Preqin Special Report: AIFMD in the Hedge Fund Industry – 2015 Update. ... »

Article
Ken MacCuish, Intralinks

A couple of years ago, the title Chief Information Security Officer, or CISO for short, was a foreign concept within the hedge fund community. The winds have changed, however, as hedge funds become increasingly targeted by cyber hackers, causing many to hire a CISO to uphold the network integrity of the firm.  ... »

Article
Sovereign Wealth Funds

Sovereign wealth funds, though small in number and secretive in nature, wield considerable influence as investors as a result of their sizeable assets under management. This extract is taken from Preqin’s latest report which features exclusive content from the 2015 Preqin Sovereign Wealth Fund Review.  ... »

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