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Law books and gavel

CFTC orders Morgan Stanley Smith Barney to pay USD200,000 for supervision violations

Tue, 23/10/2012 - 14:34

The US Commodity Futures Trading Commission has issued an order filing and settling charges that Morgan Stanley Smith Barney, a futures commission merchant based in Purchase, New York, violated CFTC regulation 166.3 by failing to diligently supervise its employees’ handling of customer accounts. »

Computer screen

Advise Technologies launches CPO-PQR/CTA-PR solution

Tue, 23/10/2012 - 12:04

Advise Technologies, a software solutions provider for global regulatory compliance, has launched the CPO-PQR and CTA-PR reporting module for its Consensus RMS suite of regulatory reporting solutions. »

Gavin Little-Gill, acting as managing director of Linedata North America

Linedata signs Vertex One Asset Management for Linedata Global Hedge

Tue, 23/10/2012 - 09:31

Canadian investment firm Vertex One Asset Management is the latest client to sign up for Linedata’s newly launched Linedata Global Hedge hosted platform. »

Lou Sala, managing partner and chief executive of Avalon Lake Partners

Consulting platform grows at Avalon Lake Partners

Tue, 23/10/2012 - 09:12

Avalon Lake Partners, an advisory firm for the alternative asset management industry, continues to build on its platform by adding Michael Byl as a director, rounding out its pre-launch and compliance activities, and enhancing its due diligence offering. »

Handshake

Olivetree appoints Bell as chief executive of US business

Tue, 23/10/2012 - 06:10

Equity brokerage and technology firm Olivetree Financial Group has appointed David Bell as chief executive of its US subsidiary, Olivetree USA. »

Jeroen Tielman, chief executive and founder of IMQubator

Early-stage managers better placed for premium returns in current climate

Mon, 22/10/2012 - 16:16

Early stage managers are better positioned to benefit from current market conditions, according to Jeroen Tielman, chief executive and founder of IMQubator, a multi-strategy hedge fund incubation platform. »

Andrew Baker, AIMA’s chief executive

AIMA calls for depository passport in Ucits V position paper

Mon, 22/10/2012 - 13:31

The Alternative Investment Management Association (AIMA), the global hedge fund association, has called for the establishment of a Ucits depositary “passport” regime in its position paper on the proposal for a Ucits V directive. »

Thomas W. Strauss, president and chief executive of Ramius

Ramius to partner in Japan with GreensLedge Capital Markets

Mon, 22/10/2012 - 13:25

Ramius, the alternative investment management business of Cowen Group, is partnering in Japan with GreensLedge Capital Markets and its affiliate GreensLedge Asia. »

US flag

Gottex Brokers expands secondary alternative investments broking business

Mon, 22/10/2012 - 13:21

Gottex Brokers has opened its first office in the US, focusing on brokerage services in the secondary market for alternative investments through its specialised entity Gottex Brokers Alternative USA.  »

Andrew H. Moser, president of Salus Capital

Salus Capital Partners closes USD65m DIP facility for HMX Group

Mon, 22/10/2012 - 12:07

Salus Capital Partners has provided a USD65m Debtor-in-Possession (DIP) credit facility to HMX Group, a designer, manufacturer and marketer of men’s and women’s business and leisure apparel. »

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