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Fraud

SEC charges Chicago-based investment adviser and owners with fraud

Mon, 08/10/2012 - 14:09

The Securities and Exchange Commission has charged Chicago-based GEI Financial Services and its owners, Norman Goldstein and Laurie Gatherum, for defrauding their advisory clients — including the GEI Health Care Fund 2001 — by taking at least USD147,000 in excessive fees and capital withdrawals from the fund since 2009. »

Gavel and scales

CFTC files record number of enforcement cases in 2012

Mon, 08/10/2012 - 12:14

The Commodity Futures Trading Commission filed 102 enforcement cases in fiscal year 2012, the highest number of cases ever in a single year. »

Netherlands flag

Netherlands becomes first European country to implement AIFMD

Mon, 08/10/2012 - 11:58

The Dutch Parliament has approved a law that implements the Alternative Investment Fund Managers Directive (AIFMD).  »

Cayman Islands

Cayman financial services industry prepares for FATCA

Mon, 08/10/2012 - 10:29

As the Cayman Islands Government’s Foreign Account Tax Compliance Act (FATCA) Task Force evaluates the suitability of a government-to-government reporting arrangement with the US, the local financial services industry is making its necessary preparations for managing FATCA. »

Up arrow

Hedge funds close third quarter with September gains

Mon, 08/10/2012 - 10:01

Hedge funds posted their strongest monthly performance since February to conclude Q3 2012, led by equity hedge strategies as investor sentiment improved on positive developments in the European banking and sovereign debt crisis, as well as US stimulus efforts, according to data released by HFR. »

Dollars

Apollo Global Management prices USD722m CLO

Mon, 08/10/2012 - 06:09

Apollo Global Management has priced ALM VII, a USD722m collateralised loan obligation (CLO), the largest broadly syndicated CLO issued in the US in 2012. »

Gibraltar and Italy signing a TIEA

Gibraltar signs TIEA with Italy

Mon, 08/10/2012 - 06:00

HM Government of Gibraltar has signed a Tax Information Exchange Agreement with the Government of the Italian Republic. »

Letter

CFTC provides guidance on combined omnibus accounts

Fri, 05/10/2012 - 16:09

The Commodity Futures Trading Commission’s division of swap dealer and intermediary oversight has released a letter providing guidance to registered futures commission merchants (FCMs). »

Anthony Payne, chief executive of Peregrine Communications

Wells Fargo Asset Management appoints Peregrine Communications

Fri, 05/10/2012 - 14:11

Peregrine Communications, the specialist integrated communications consultancy, has been appointed by Wells Fargo Asset Management (WFAM) to support the firm’s communications and media relations in Europe and Asia targeting the retail, wealth management and institutional markets. »

Jon Fowler, Maples and Calder

New partners join Maples and Calder's funds team

Fri, 05/10/2012 - 12:25

Maples and Calder recently welcomed six new funds partners to its Cayman Islands office. »

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