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Mary Schapiro, SEC chairman

SEC proposes rules on general solicitation and advertising in securities offerings

Thu, 30/08/2012 - 12:44

The Securities and Exchange Commission has proposed rules to eliminate the prohibition against general solicitation and general advertising in certain securities offerings. »

Signing a form

HedgeServ provides Form PF compliance solution to fund managers

Thu, 30/08/2012 - 10:14

HedgeServ, an independent global fund administrator, has added a Form PF (Private Fund) enterprise reporting solution to its service offering. »

Tick

CFTC certifies Euro Stoxx 50 Ex Financials Index Futures Contract

Thu, 30/08/2012 - 06:03

The Commodity Futures Trading Commission’s division of market oversight has issued a letter advising Eurex Deutschland that its Euro Stoxx 50 Ex Financials Index futures contract submitted by Eurex for review on 12 July has been deemed certified. »

Confidential file

SEI completes first Form PF filing for hedge fund client

Wed, 29/08/2012 - 14:09

SEI has completed its first Form PF filing on behalf of a global, multi-billion-dollar hedge fund client. »

Gavel and scales

SEC charges former Sky Bell hedge fund manager with making misrepresentations

Tue, 28/08/2012 - 16:06

The Securities and Exchange Commission has filed a settled civil action in the US District Court for the Northern District of California against Gary R Marks. »

Approved stamp

CFTC issues final swap rules

Tue, 28/08/2012 - 10:02

The Commodity Futures Trading Commission has approved final rules to improve the risk management procedures of swap dealers and major swap participants.  »

William Hodash, DTCC managing director, business development

DTCC and Swift launch CFTC Interim Compliant Identifier (CICI) utility

Wed, 22/08/2012 - 06:23

The Depository Trust & Clearing Corporation and Swift have launched a web portal at www.ciciutility.org to begin assigning CFTC Interim Compliant Identifiers (CICIs) after being designated by the US Commodity Futures Trading Commission to do so. »

Electricity pylon

CFTC issues proposed order to exempt certain non-financial energy derivative transactions

Mon, 20/08/2012 - 12:04

The Commodity Futures Trading Commission has approved a proposed order that would exempt certain non-financial energy derivative transactions between and amongst government-owned electric utilities and cooperatively-owned electric utilities from most of the requirements of the Commodity Exchange Act. »

Connected hands

Clearing connectivity standard launched for central counterparty clearing

Wed, 15/08/2012 - 10:21

Sapient Global Markets has completed a new industry standard for cleared OTC derivatives related activity reporting for asset managers, futures commission merchants (FCMs) and custodians. »

Gavel and scales

CFTC settles action over forex scheme against Douglas Elsworth Wilson

Wed, 15/08/2012 - 06:15

A federal court in California has entered a consent order that requires defendants Douglas Elsworth Wilson of Poway, California, and three companies he controls and manages, Elsworth Berg Capital Management (EBCM), Elsworth Berg Inc, and Elsworth Berg FX jointly and severally to pay USD3,965,670.71 in restitution to customers as well as a USD1.5m civil monetary penalty. »

Fraud

CFTC charges Michael Bruce Gale with commodity pool fraud

Tue, 14/08/2012 - 14:08

The US Commodity Futures Trading Commission has filed a civil anti-fraud enforcement action against Michael Bruce Gale, individually and doing business as Capital Management Group (CMG). »

Ponzi scheme

Hoopes to pay over USD11.8m for operating Ponzi scheme

Wed, 01/08/2012 - 06:15

The US Commodity Futures Trading Commission has obtained a federal court order requiring defendant Michael Justin Hoopes of Rexburg, Idaho, to pay more than USD10.4m in restitution and a civil monetary penalty of over USD1.4m for operating a Ponzi scheme that defrauded Idaho residents and others. »

Fraud

CFTC charges Victor Yu and VFRS with forex fraud

Tue, 31/07/2012 - 12:15

The Northern District of California has entered an emergency order freezing the assets of defendants Victor Yu of San Jose, California, and his company VFRS based in Alameda, California. »

Policy

CFTC proposes clearing determination for credit default and interest rate swaps

Thu, 26/07/2012 - 14:15

The Commodity Futures Trading Commission has proposed new rules to require certain credit default swaps and interest rate swaps to be cleared by registered derivatives clearing organisations (DCOs). »

Fraud

CFTC charges Philip Leon, Paul Rangel, John Wilkins and Altamont Global Partners with fraud

Thu, 26/07/2012 - 12:28

The US District Court for the Middle District of Florida has frozen the assets of defendants Philip Leon of Altamonte Springs, Florida, Paul Rangel of Apopka, Florida, John Wilkins of Chuluota, Florida, and their company, Altamont Global Partners of Longwood, Florida. »

Barred sign

CFTC seeks to revoke registrations of Brian Kim and Liquid Capital Management

Wed, 25/07/2012 - 15:54

The US Commodity Futures Trading Commission has filed a notice of intent to revoke the registrations of Brian Kim and Liquid Capital Management (LCM). »

Approved stamp

ICE Trade Vault granted provisional approval as a swap data repository

Fri, 29/06/2012 - 13:00

The US Commodity Futures Trading Commission (CFTC or Commission) has approved the application of ICE Trade Vault, LLC for provisional registration as a swap data repository. »

Philip A Falcone, Harbinger Capital Partners LLC

SEC charges Philip A Falcone and Harbinger with securities fraud

Thu, 28/06/2012 - 14:34

The Securities and Exchange Commission has filed fraud charges against New York-based hedge fund adviser Philip A Falcone (pictured) and his advisory firm, Harbinger Capital Partners LLC for illicit conduct that included misappropriation of client assets, market manipulation, and betraying clients. »

Judgement hammer

CFTC orders Barclays to pay USD200m penalty for attempted manipulation of LIBOR and Euribor Benchmark Interest Rates

Thu, 28/06/2012 - 14:00

The US Commodity Futures Trading Commission (CFTC) has issued an Order filing and settling charges against Barclays PLC, Barclays Bank PLC (Barclays Bank) and Barclays Capital Inc. (Barclays Capital) (collectively Barclays or the Bank).  »

Orange fraud sign with magnifying glass

Gutterman and companies to pay over USD2.5m over gold and oil commodities fraud

Thu, 28/06/2012 - 06:00

The US District Court for the Southern District of Florida has entered an order of default judgment and permanent injunction against Abraham Gutterman, who currently resides in Brooklyn, NY, and his companies, Alliance Capital Metals LLC (ACM) and AR Goldman Wealth Management, LLC (ARGWM), both of South Florida. »

Judgement hammer

Court finds HF manager in civil contempt for failing to pay USD12m to defrauded investors

Wed, 27/06/2012 - 16:00

An Order Finding Defendants In Civil Contempt has been issued by a judge in the United States District Court for the Northern District of California against defendants Lawrence R Goldfarb (Goldfarb) and Baystar Capital Management, LLC (Baystar Capital) in the proceeding entitled Securities and Exchange Commission v. Lawrence R. Goldfarb, et. al, Case No. C-11-00938-WHA. »

Judgement Hammer

Court approves SEC settlements with two former Bear Stearns hedge fund portfolio managers

Tue, 26/06/2012 - 15:00

The US District Court for the Eastern District of New York ahas approved Securities and Exchange Commission settlements with two former Bear Stearns Asset Management portfolio managers, bringing to a close the SEC’s civil litigation against the managers. »

Red Barred sign

NFA permanently bars Arjent Capital Advisors and Chicago Trading Managers

Fri, 22/06/2012 - 10:24

The National Futures Association (NFA) has permanently barred Arjent Capital Advisors LLC (ACA), a commodity pool operator, and Chicago Trading Managers LLC (CTM), a commodity pool operator and commodity trading advisor, located in Boulder, Colorado. »

Gavel and scales

SEC charges two feeders for one of south Florida’s largest-ever Ponzi schemes

Tue, 05/06/2012 - 17:00

The Securities and Exchange Commission (SEC) has charged two individuals who provided the biggest influx of investor funds into one of the largest-ever Ponzi schemes in South Florida. »

Orange fraud sign with magnifying glass

Cilli and Progressive Investment Funds to pay USD700,000 over commodity pool Ponzi scheme

Thu, 31/05/2012 - 16:00

The US Commodity Futures Trading Commission (CFTC) has obtained a federal court consent order requiring defendants Victor Eugene Cilli and his company, Progressive Investment Funds LLC (Progressive), both formerly of Hackensack, NJ, to pay, jointly and severally, restitution of USD243,000 and a USD474,000 civil monetary penalty in connection with operating a commodity pool Ponzi scheme that defrauded investors of over USD500,000 and misappropriated investor funds. »

Two fingers

SEC charges two investment advisers with fraud

Thu, 31/05/2012 - 11:00

The Securities and Exchange Commission has charged Jorge Gomez, an investment adviser formerly located in Dallas, Texas and Mexico, with perpetrating a fraudulent scheme to misappropriate millions from an investment advisory client (“Client”). The SEC also has agreed to settle related charges against Roberto Aleph Espinosa, a former resident of Miami, Florida, who, in conjunction with Gomez, provided investment advisory and brokerage services to the Client. »

Orange fraud sign with magnifying glass

SEC halts fraudulent investment scheme by New York-based fund manager

Mon, 28/05/2012 - 16:00

The Securities and Exchange Commission has announced charges against a New York-based fund manager and his two firms for luring investors into a trading program that would purportedly maximise their profits but instead spent their money in unauthorised ways. »

Two fingers

SEC charges two feeders over Ponzi schemes

Wed, 23/05/2012 - 11:00

The Securities and Exchange Commission has charged two individuals who provided the biggest influx of investor funds into one of the largest-ever Ponzi schemes in South Florida. »

Approved stamp

CFTC approves final rule on swap data record-keeping and reporting requirements

Mon, 21/05/2012 - 16:00

The US Commodity Futures Trading Commission (CFTC) has approved a final rule on swap data record-keeping and reporting requirements for counterparties to pre-enactment swaps, those swaps executed prior to passage of the Dodd-Frank Act, and transition swaps, those entered into between the law’s enactment date and the applicable compliance date for swap data record-keeping and reporting. »

Orange fraud sign with magnifying glass

SEC charges Seattle-based fund manager Spangler with fraud

Mon, 21/05/2012 - 10:49

The Securities and Exchange Commission has charged a Seattle-based financial adviser and his firm with defrauding clients by secretly investing their money in two risky start-up companies he co-founded. »

features
Special report
Commodities 2015: The outlook for investors

Investing in commodities can yield handsome returns, but investors need to focus sharply on timing and diversify their portfolios away from traditional safe havens and into sectors such as agriculturals and products such as ETFs. As one expert reveals in this special report, "Gold is not the only yellow commodity one should have in their portfolio"... »

Article
Spotlight

In an extract from the Preqin Special Report: Asia-Pacific Hedge Funds, we provide an overview of the industry in Asia-Pacific, covering assets under management as well as key locations, strategies, fund structures and more.  ... »

Article
up arrow

Assets under management for sovereign wealth funds globally reach USD6.31tn as of March 2015, increasing by more than USD900bn over the past 18 months. This information has been revealed in the 2015 Preqin Sovereign Wealth Fund Review, a comprehensive guide to these influential investors. ... »

Special report
Hedgeweek Global Awards 2015 – The Winners

Read the complete list of Winners and profiles at the sixth edition of the Hedgeweek Awards, presented in London's Mayfair and sponsored by Morgan Stanley, which brought together the leading names in the global hedge funds industry to celebrate the achievements of the best performing managers and service providers in 2014... »

Article
Hedgeweek Special Report: eVestment – The evolution of hedge fund investing

As revealed in this Hedgeweek Special Report sponsored by eVestment, the data, analytics and market intelligence provider to the institutional investment community, experts agree that investing in hedge funds represents a good way for institutions to access manager skill, which is key in constructing a diversified portfolio to achieve risk and return targets. ... »

Special report
Hedgeweek Special Report: The Bahamas – How it continues to evolve its funds industry

The Bahamas is taking steps to raise its profile as an attractive funds centre, continuing to build out the popular SMART Fund model template to provide a range of solutions for investment managers, plus its new ICON structure designed to appeal specifically to Brazilian investment managers and advisers.... »

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