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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. »

Trading screens

Fixed income regulation and dealer economics spur innovation in dealer-to-client markets

Wed, 29/08/2012 - 10:05

The economics of fixed income dealing operations is evolving due to market structure changes, emerging regulations, and disruptive technologies already in the market and on the horizon. »

Ponzi scheme

Convicted Ponzi scheme operator Jeffrey L Mowen to pay over USD18m in SEC action

Wed, 29/08/2012 - 06:22

The US District Court for the District of Utah has entered a final judgment against Jeffrey L Mowen, ordering him to disgorge USD8,041,779 in ill-gotten gains and USD1,964,203.67 in prejudgment interest. »

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. »

Bill Stone, chairman and chief executive officer, SS&C Technologies

SS&C releases Total Return 2012

Tue, 28/08/2012 - 14:09

SS&C Technologies, a provider of financial services software and software-enabled services, has released Total Return 2012, an update to its portfolio and partnership accounting and reporting platform for hedge funds, funds of funds and family offices. »

Traders

Hedge funds up 1.42 per cent in July

Tue, 28/08/2012 - 12:03

Hedge funds, as measured by the Dow Jones Credit Suisse Hedge Fund Index, finished July up 1.42 per cent with eight out of 10 strategies in positive territory. »

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.  »

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