North America http://www.hedgeweek.com/taxonomy/term/62/all en CFTC secures court order against TOTE Fund and MJS Capital Management for Commodity Exchange Act violations http://www.hedgeweek.com/2015/01/15/216133/cftc-secures-court-order-against-tote-fund-and-mjs-capital-management-commodity-ex <a href="http://www.globalfunddata.com/funds/search/hedge'?title=&status=Active&return_date=2012-03-04&searchType=advanced" title="See all Hedge funds" alt="See all Hedge funds">Hedge</a> <div class="field field-type-text field-field-inhouse-content"> <div class="field-label">Inhouse content:&nbsp;</div> <div class="field-items"> <div class="field-item odd"> off </div> </div> </div> <p><strong><em>The CFTC has secured a court order requiring two commodity pool operators and their principal Michael J Siegel to pay restitution of USD104,684.47, disgorgement of USD86,503.36, and a civil monetary of USD259,510.08 over the misappropriation of funds. &nbsp;</em></strong></p> North America Thu, 15 Jan 2015 11:30:00 +0000 Leah.Cunningham 216133 at http://www.hedgeweek.com MF Global Holdings to pay USD1.212bn for unlawful use of customer funds http://www.hedgeweek.com/2014/12/29/215324/mf-global-holdings-pay-usd1212bn-unlawful-use-customer-funds <div class="field field-type-text field-field-inhouse-content"> <div class="field-label">Inhouse content:&nbsp;</div> <div class="field-items"> <div class="field-item odd"> off </div> </div> </div> <p><em><strong>MF Global Holdings (MFGH) is to pay USD1.212 billion to settle CFTC charges relating to the misuse of customer funds and related supervisory failures by subsidiary MF Global Inc (MFGI).&nbsp;</strong></em></p> North America Fri, 02 Jan 2015 11:37:24 +0000 mkitchen 215324 at http://www.hedgeweek.com CFTC extends time-limited no-action relief to Eurex Clearing and US clearing members http://www.hedgeweek.com/2014/12/24/215274/cftc-extends-time-limited-no-action-relief-eurex-clearing-and-us-clearing-members <div class="field field-type-text field-field-inhouse-content"> <div class="field-label">Inhouse content:&nbsp;</div> <div class="field-items"> <div class="field-item odd"> off </div> </div> </div> <p><em><strong>The US&nbsp;Commodity Futures Trading Commission (CFTC) has extended the no-action relief granted in CFTC Letter 14-27 to Eurex Clearing AG (Eurex Clearing) and its US clearing members.</strong></em></p> North America Wed, 24 Dec 2014 13:04:25 +0000 mkitchen 215274 at http://www.hedgeweek.com RBC to pay USD35m penalty for illegal wash sales, fictitious sales and non-competitive transactions http://www.hedgeweek.com/2014/12/22/215060/royal-bank-canada-pay-usd35m-penalty-illegal-wash-sales-fictitious-sales-and-non-c <a href="http://www.globalfunddata.com/funds/search/hedge'?title=&status=Active&return_date=2012-03-04&searchType=advanced" title="See all Hedge funds" alt="See all Hedge funds">Hedge</a> <div class="field field-type-text field-field-inhouse-content"> <div class="field-label">Inhouse content:&nbsp;</div> <div class="field-items"> <div class="field-item odd"> off </div> </div> </div> <p><strong><em>The Royal Bank of Canada (RBC) is to pay a USD35 million penalty for engaging in more than 1,000 illegal wash sales, fictitious sales, and noncompetitive transactions over a three-year period. &nbsp;</em></strong></p> North America Mon, 22 Dec 2014 06:00:00 +0000 Leah.Cunningham 215060 at http://www.hedgeweek.com AlphaMetrix to pay USD5.6m to settle CFTC charges http://www.hedgeweek.com/2014/12/19/215025/alphametrix-pay-usd56m-settle-cftc-charges <a href="http://www.globalfunddata.com/funds/search/hedge'?title=&status=Active&return_date=2012-03-04&searchType=advanced" title="See all Hedge funds" alt="See all Hedge funds">Hedge</a> <div class="field field-type-text field-field-inhouse-content"> <div class="field-label">Inhouse content:&nbsp;</div> <div class="field-items"> <div class="field-item odd"> off </div> </div> </div> <p><strong><em>Commodity Pool Operator (CPO) and Commodity Trading Advisor (CTA) AlphaMetrix is to pay USD5.6 million in restitution and penalties to settle US Commodity Futures Trading Commission (CFTC) charges.</em></strong></p> North America Fri, 19 Dec 2014 09:00:00 +0000 Leah.Cunningham 215025 at http://www.hedgeweek.com SEC charges Buffalo firm and co-owners with fraud over HF investment advice http://www.hedgeweek.com/2014/12/11/214520/sec-charges-buffalo-based-firm-and-co-owners-fraud-over-hedge-fund-investment-advi <a href="http://www.globalfunddata.com?title=&country[0]=United+States&status=Active&return_date=2012-03-04&searchType=advanced" title="See all United States funds" >United States funds</a> <a href="http://www.globalfunddata.com/funds/search/hedge'?title=&status=Active&return_date=2012-03-04&searchType=advanced" title="See all Hedge funds" alt="See all Hedge funds">Hedge</a> <div class="field field-type-text field-field-inhouse-content"> <div class="field-label">Inhouse content:&nbsp;</div> <div class="field-items"> <div class="field-item odd"> off </div> </div> </div> <p><em><strong>The Securities and Exchange Commission has charged a Buffalo, NY-based investment advisory firm and two co-owners accused of making false and misleading statements to clients regarding investments in a hedge fund.&nbsp;&nbsp;</strong></em></p> North America Thu, 11 Dec 2014 11:47:28 +0000 mkitchen 214520 at http://www.hedgeweek.com Irving H Picard reaches USD95m BLMIS recovery agreement with Senator Feeder Fund http://www.hedgeweek.com/2014/11/20/213234/irving-h-picrad-reaches-usd95m-recovery-agreement-senator-feeder-fund <a href="http://www.globalfunddata.com/funds/search/hedge'?title=&status=Active&return_date=2012-03-04&searchType=advanced" title="See all Hedge funds" alt="See all Hedge funds">Hedge</a> <div class="field field-type-text field-field-inhouse-content"> <div class="field-label">Inhouse content:&nbsp;</div> <div class="field-items"> <div class="field-item odd"> off </div> </div> </div> <p><strong><em>Irving H Picard, Securities Investor Protection Act (SIPA) Trustee for the liquidation of Bernard L Madoff Investment Securities LLC (BLMIS), is seeking approval of a recovery agreement with Senator Fund SPC, a Cayman Islands incorporated investment fund invested exclusively with BLMIS.</em></strong></p> North America Thu, 20 Nov 2014 06:00:00 +0000 Leah.Cunningham 213234 at http://www.hedgeweek.com Herald Fund SPC agrees global settlement with Madoff Trustee http://www.hedgeweek.com/2014/11/19/213177/herald-fund-spc-agrees-global-settlement-madoff-trustee <a href="http://www.globalfunddata.com/funds/search/hedge'?title=&status=Active&return_date=2012-03-04&searchType=advanced" title="See all Hedge funds" alt="See all Hedge funds">Hedge</a> <div class="field field-type-text field-field-inhouse-content"> <div class="field-label">Inhouse content:&nbsp;</div> <div class="field-items"> <div class="field-item odd"> off </div> </div> </div> <p><strong><em>BDO CRI (Cayman) Ltd, the Principal Liquidators of Herald Fund SPC, have reached a global settlement agreement with Irving H Picard, Trustee for the Estate of Bernard L Madoff Investment Securities. &nbsp;</em></strong></p> North America Wed, 19 Nov 2014 06:00:00 +0000 Leah.Cunningham 213177 at http://www.hedgeweek.com Madoff Trustee reaches recovery agreement of nearly USD500m with Herald and Primeo Feeder Funds http://www.hedgeweek.com/2014/11/18/213162/madoff-trustee-reaches-recovery-agreement-nearly-usd500m-herald-and-primeo-feeder- <a href="http://www.globalfunddata.com/funds/search/hedge'?title=&status=Active&return_date=2012-03-04&searchType=advanced" title="See all Hedge funds" alt="See all Hedge funds">Hedge</a> <div class="field field-type-text field-field-inhouse-content"> <div class="field-label">Inhouse content:&nbsp;</div> <div class="field-items"> <div class="field-item odd"> off </div> </div> </div> <p><strong><em>Irving H Picard, Securities Investor Protection Act (SIPA) Trustee for the liquidation of Bernard L Madoff Investment Securities LLC (BLMIS), has filed a motion today in the United States Bankruptcy Court...&nbsp;</em></strong></p> North America Tue, 18 Nov 2014 11:45:00 +0000 Leah.Cunningham 213162 at http://www.hedgeweek.com Markit | Genpact KYC Services registers more than 600 firms http://www.hedgeweek.com/2014/11/12/212834/markit-genpact-kyc-services-registers-more-600-firms <a href="http://www.globalfunddata.com?title=&country[0]=United+States&status=Active&return_date=2012-03-04&searchType=advanced" title="See all United States funds" >United States funds</a> <a href="http://www.globalfunddata.com/funds/search/hedge'?title=&status=Active&return_date=2012-03-04&searchType=advanced" title="See all Hedge funds" alt="See all Hedge funds">Hedge</a> <div class="field field-type-text field-field-inhouse-content"> <div class="field-label">Inhouse content:&nbsp;</div> <div class="field-items"> <div class="field-item odd"> off </div> </div> </div> <p><em><strong>More than 600 buyside firms and corporations are registered for Markit | Genpact KYC Services centralised service to streamline the management of know your customer (KYC) information required by banks.</strong></em></p> North America Wed, 12 Nov 2014 14:03:00 +0000 Emily.Perryman 212834 at http://www.hedgeweek.com NFA bars commodity pool operator Belvedere Asset Management from membership http://www.hedgeweek.com/2014/10/31/212201/nfa-bars-commodity-pool-operator-belvedere-asset-management-membership <a href="http://www.globalfunddata.com?title=&country[0]=United+States&status=Active&return_date=2012-03-04&searchType=advanced" title="See all United States funds" >United States funds</a> <a href="http://www.globalfunddata.com/funds/search/hedge'?title=&status=Active&return_date=2012-03-04&searchType=advanced" title="See all Hedge funds" alt="See all Hedge funds">Hedge</a> <div class="field field-type-text field-field-inhouse-content"> <div class="field-label">Inhouse content:&nbsp;</div> <div class="field-items"> <div class="field-item odd"> off </div> </div> </div> <p><em><strong>National Futures Association (NFA) has ordered commodity pool operator Belvedere Asset Management to permanently withdraw from NFA membership.</strong></em></p> North America Fri, 31 Oct 2014 12:03:00 +0000 Emily.Perryman 212201 at http://www.hedgeweek.com Federal Court approves receiver’s USD264m Kenwood Group distribution plan http://www.hedgeweek.com/2014/10/31/212165/federal-court-approves-receiver%E2%80%99s-usd264m-kenwood-group-distribution-plan <a href="http://www.globalfunddata.com?title=&country[0]=United+States&status=Active&return_date=2012-03-04&searchType=advanced" title="See all United States funds" >United States funds</a> <a href="http://www.globalfunddata.com/funds/search/hedge'?title=&status=Active&return_date=2012-03-04&searchType=advanced" title="See all Hedge funds" alt="See all Hedge funds">Hedge</a> <div class="field field-type-text field-field-inhouse-content"> <div class="field-label">Inhouse content:&nbsp;</div> <div class="field-items"> <div class="field-item odd"> off </div> </div> </div> <p><em><strong>Court-appointed receiver John J Carney has received authorisation for a USD264 million distribution plan for the receivership estate of Michael Kenwood Capital Management and related entities.</strong></em></p> North America Fri, 31 Oct 2014 06:15:00 +0000 Emily.Perryman 212165 at http://www.hedgeweek.com SEC charges NJ-based HF manager with insider trading http://www.hedgeweek.com/2014/10/28/212056/sec-charges-nj-based-hedge-fund-manager-insider-trading <a href="http://www.globalfunddata.com?title=&country[0]=United+States&status=Active&return_date=2012-03-04&searchType=advanced" title="See all United States funds" >United States funds</a> <a href="http://www.globalfunddata.com/funds/search/hedge'?title=&status=Active&return_date=2012-03-04&searchType=advanced" title="See all Hedge funds" alt="See all Hedge funds">Hedge</a> <div class="field field-type-text field-field-inhouse-content"> <div class="field-label">Inhouse content:&nbsp;</div> <div class="field-items"> <div class="field-item odd"> off </div> </div> </div> <p><em><strong>The SEC has filed insider trading charges against a New Jersey-based hedge fund manager who allegedly used material, nonpublic information to trade in advance of market-moving news concerning Carter&#39;s Inc.</strong></em></p> North America Tue, 28 Oct 2014 14:11:00 +0000 Emily.Perryman 212056 at http://www.hedgeweek.com Investment adviser regulatory assets under management reach USD61.7trn http://www.hedgeweek.com/2014/10/28/212036/investment-adviser-regulatory-assets-under-management-reach-usd617trn <a href="http://www.globalfunddata.com?title=&country[0]=United+States&status=Active&return_date=2012-03-04&searchType=advanced" title="See all United States funds" >United States funds</a> <a href="http://www.globalfunddata.com/funds/search/hedge'?title=&status=Active&return_date=2012-03-04&searchType=advanced" title="See all Hedge funds" alt="See all Hedge funds">Hedge</a> <div class="field field-type-text field-field-inhouse-content"> <div class="field-label">Inhouse content:&nbsp;</div> <div class="field-items"> <div class="field-item odd"> off </div> </div> </div> <p><em><strong>Total regulatory assets under management (RAUM) reported by all investment advisers as of 7 April was USD61.7 trillion, representing a substantial increase from the USD54.8 trillion RAUM reported in April 2013.</strong></em></p> North America Surveys & research Tue, 28 Oct 2014 14:04:00 +0000 Emily.Perryman 212036 at http://www.hedgeweek.com Rengan Rajaratnam to settle SEC insider trading charges http://www.hedgeweek.com/2014/10/27/211921/rengan-rajaratnam-settle-sec-insider-trading-charges <a href="http://www.globalfunddata.com?title=&country[0]=United+States&status=Active&return_date=2012-03-04&searchType=advanced" title="See all United States funds" >United States funds</a> <a href="http://www.globalfunddata.com/funds/search/hedge'?title=&status=Active&return_date=2012-03-04&searchType=advanced" title="See all Hedge funds" alt="See all Hedge funds">Hedge</a> <div class="field field-type-text field-field-inhouse-content"> <div class="field-label">Inhouse content:&nbsp;</div> <div class="field-items"> <div class="field-item odd"> off </div> </div> </div> <p><em><strong>Former hedge fund manager Rajarengan &ldquo;Rengan&rdquo; Rajaratnam has agreed to pay more than USD840,000 and accept securities industry bars in order to settle the Securities and Exchange Comission&rsquo;s (SEC) insider trading case against him.</strong></em></p> North America Mon, 27 Oct 2014 05:00:00 +0000 Emily.Perryman 211921 at http://www.hedgeweek.com