North America http://www.hedgeweek.com/taxonomy/term/62/0 en CFTC revokes registrations of SAC Capital Advisors http://www.hedgeweek.com/2014/09/17/210080/cftc-revokes-registrations-sac-capital-advisors <a href="http://www.globalfunddata.com?title=&country[0]=United+States&status=Active&return_date=2011-09-22&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=2011-09-22&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 US Commodity Futures Trading Commission (CFTC) has filed a notice of intent to revoke the registrations of SAC Capital Advisors LLC and SAC Capital Advisors LP.</strong></em></p> North America Wed, 17 Sep 2014 15:06:00 +0000 Emily.Perryman 210080 at http://www.hedgeweek.com SEC sanctions 19 firms and one individual trader for short selling violations http://www.hedgeweek.com/2014/09/17/210070/sec-sanctions-19-firms-and-one-individual-trader-short-selling-violations <a href="http://www.globalfunddata.com?title=&country[0]=United+States&status=Active&return_date=2011-09-22&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=2011-09-22&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 (SEC) has imposed a further 20 sanctions in its continuing enforcement initiative against hedge fund advisers and private equity firms illegally participating in stock offers short selling the stock during a restricted period.</strong></em></p> North America Wed, 17 Sep 2014 13:05:00 +0000 Emily.Perryman 210070 at http://www.hedgeweek.com IVP extends Managed Services model to include support for global regulatory filings http://www.hedgeweek.com/2014/09/17/210081/ivp-extends-managed-services-model-include-support-global-regulatory-filings <a href="http://www.globalfunddata.com/funds/search/hedge'?title=&status=Active&return_date=2011-09-22&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>Indus Valley Partners (IVP) has extended its Managed Services offering to include regulatory filings for hedge funds, private equity funds and other alternative asset managers.</strong></em></p> North America Europe Technology and software solutions Wed, 17 Sep 2014 12:00:00 +0000 Emily.Perryman 210081 at http://www.hedgeweek.com CFTC fines Morgan Stanley Smith Barney for supervision and records failures http://www.hedgeweek.com/2014/09/16/210021/cftc-fines-morgan-stanley-smith-barney-supervision-and-records-failures <a href="http://www.globalfunddata.com?title=&country[0]=United+States&status=Active&return_date=2011-09-22&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=2011-09-22&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 US Commodity Futures Trading Commission (CFTC) has fined Morgan Stanley Smith Barney, a CFTC-registered futures commission merchant, for improper supervision and records violations.&nbsp;</strong></em></p> North America Tue, 16 Sep 2014 10:49:08 +0000 Emily.Perryman 210021 at http://www.hedgeweek.com CBOE and C2 in FINRA discussions over regulatory services agreement http://www.hedgeweek.com/2014/09/15/209991/cboe-and-c2-finra-discussions-over-regulatory-services-agreement <a href="http://www.globalfunddata.com?title=&country[0]=United+States&status=Active&return_date=2011-09-22&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=2011-09-22&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 Chicago Board Options Exchange (CBOE) and C2 Options Exchange are in discussions with the Financial Industry Regulatory Authority (FINRA) on a potential agreement for FINRA to provide certain regulatory services to their options markets.</strong></em></p> North America Mon, 15 Sep 2014 15:00:00 +0000 Emily.Perryman 209991 at http://www.hedgeweek.com SEC creates new office in division of economic and risk analysis http://www.hedgeweek.com/2014/09/15/209983/sec-creates-new-office-division-economic-and-risk-analysis <a href="http://www.globalfunddata.com?title=&country[0]=United+States&status=Active&return_date=2011-09-22&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=2011-09-22&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 (SEC) is creating a new office within the division of economic and risk analysis (DERA) that will coordinate efforts to provide data-driven risk assessment tools and models to support a wide range of SEC activities.&nbsp;</strong></em></p> North America Mon, 15 Sep 2014 12:46:00 +0000 Emily.Perryman 209983 at http://www.hedgeweek.com Regulation slows push for alternatives, says Cerulli
 http://www.hedgeweek.com/2014/09/11/209827/regulation-slows-push-alternatives-says-cerulli%E2%80%A8 <a href="http://www.globalfunddata.com?title=&country[0]=United+States&status=Active&return_date=2011-09-22&searchType=advanced" title="See all United States funds" >United States funds</a> <a href="http://www.globalfunddata.com/funds/search/all'?title=&status=Active&return_date=2011-09-22&searchType=advanced" title="See all All funds" alt="See all All funds">All</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>Regulation is slowing the push for alternative investments, according to research released by Cerulli Associates.</strong></em></p> North America Surveys & research Thu, 11 Sep 2014 11:05:52 +0000 Emily.Perryman 209827 at http://www.hedgeweek.com CFTC issues exemptive letter providing relief from certain JOBS Act SEC amendments http://www.hedgeweek.com/2014/09/11/209821/cftc-issues-exemptive-letter-providing-relief-certain-jobs-act-sec-amendments <a href="http://www.globalfunddata.com?title=&country[0]=United+States&status=Active&return_date=2011-09-22&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=2011-09-22&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 US Commodity Futures Trading Commission (CFTC) has issued an exemptive letter which provides relief from certain provisions restricting marketing to the public.</strong></em></p> North America Thu, 11 Sep 2014 10:09:15 +0000 Emily.Perryman 209821 at http://www.hedgeweek.com Harmonisation of CFTC and SEC hedge fund advertising rules is a ‘sensible step’ http://www.hedgeweek.com/2014/09/11/209818/harmonisation-cftc-and-sec-hedge-fund-advertising-rules-%E2%80%98sensible-step%E2%80%99 <a href="http://www.globalfunddata.com?title=&country[0]=United+States&status=Active&return_date=2011-09-22&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=2011-09-22&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>Securities attorney Howard Groedel of Ulmer &amp; Berne LLP, comments on the CFTC&rsquo;s easing of hedge fund advertising restrictions&hellip;&nbsp;</strong></em></p> North America Thu, 11 Sep 2014 08:23:57 +0000 mkitchen 209818 at http://www.hedgeweek.com CFTC charges Florida attorney with aiding and abetting illegal metals transactions and fraud http://www.hedgeweek.com/2014/09/11/209778/cftc-charges-florida-attorney-aiding-and-abetting-illegal-metals-transactions-and- <a href="http://www.globalfunddata.com?title=&country[0]=United+States&status=Active&return_date=2011-09-22&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=2011-09-22&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 US Commodity Futures Trading Commission (CFTC) has filed a civil enforcement complaint against Florida attorney Jay Bruce Grossman charging him with aiding and abetting multiple clients in the operation of illegal and fraudulent precious metals schemes.</strong></em></p> North America Thu, 11 Sep 2014 05:01:00 +0000 Emily.Perryman 209778 at http://www.hedgeweek.com CFTC issues no-action letter for CPOs with wholly-owned trading subsidiaries http://www.hedgeweek.com/2014/09/09/209720/cftc-issues-no-action-letter-cpos-wholly-owned-trading-subsidiaries <a href="http://www.globalfunddata.com?title=&country[0]=United+States&status=Active&return_date=2011-09-22&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=2011-09-22&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 US CFTC&rsquo;s Division of Swap Dealer and Intermediary Oversight (DSIO) has issued a no-action letter for commodity pool operators (CPOs) that are non-registered investment companies that use wholly-owned trading subsidiaries to trade commodity interests.</strong></em></p> North America Tue, 09 Sep 2014 15:00:00 +0000 Emily.Perryman 209720 at http://www.hedgeweek.com SEC charges HF manager with bilking investors and portfolio pumping http://www.hedgeweek.com/2014/09/09/209704/sec-charges-minneapolis-hedge-fund-manager-bilking-investors-and-portfolio-pumping <a href="http://www.globalfunddata.com?title=&country[0]=United+States&status=Active&return_date=2011-09-22&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=2011-09-22&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 (SEC) has charged a Minneapolis-based hedge fund manager, his investment advisory firm and an accomplice with bilking investors in two hedge funds out of more than USD1m.&nbsp;</strong></em></p> North America Tue, 09 Sep 2014 10:05:48 +0000 Emily.Perryman 209704 at http://www.hedgeweek.com AIMA updates due diligence questionnaire for hedge fund managers http://www.hedgeweek.com/2014/09/03/209434/aima-updates-due-diligence-questionnaire-hedge-fund-managers <a href="http://www.globalfunddata.com?status=Active&return_date=2011-09-22&searchType=advanced" title="See all Funds by country" >Funds by country</a> <a href="http://www.globalfunddata.com/funds/search/hedge'?title=&status=Active&return_date=2011-09-22&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 Alternative Investment Management Association (AIMA), the global hedge fund industry body, has published an updated edition of its flagship due diligence questionnaire (DDQ), the AIMA DDQ for Hedge Fund Managers.</strong></em></p> North America Wed, 03 Sep 2014 10:45:47 +0000 Emily.Perryman 209434 at http://www.hedgeweek.com CFTC issues rule for deposit of customer funds with UK depositaries http://www.hedgeweek.com/2014/09/01/209291/cftc-issues-rule-deposit-customer-funds-uk-depositaries <a href="http://www.globalfunddata.com?title=&country[0]=United+Kingdom&status=Active&return_date=2011-09-22&searchType=advanced" title="See all United Kingdom funds" >United Kingdom funds</a> <a href="http://www.globalfunddata.com/funds/search/hedge'?title=&status=Active&return_date=2011-09-22&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 US Commodity Futures Trading Commission (CFTC) has issued an interpretation of Commission Regulation 30.7(c) under the Commodity Exchange Act.&nbsp;</strong></em></p> North America Europe Mon, 01 Sep 2014 05:02:00 +0000 Emily.Perryman 209291 at http://www.hedgeweek.com SEC adopts asset-backed securities reform rules http://www.hedgeweek.com/2014/08/28/209227/sec-adopts-asset-backed-securities-reform-rules <a href="http://www.globalfunddata.com?title=&country[0]=United+States&status=Active&return_date=2011-09-22&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=2011-09-22&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 adopted revisions to rules governing the disclosure, reporting, and offering process for asset-backed securities (ABS) to enhance transparency, better protect investors and facilitate capital formation.</strong></em></p> North America Thu, 28 Aug 2014 13:33:00 +0000 Emily.Perryman 209227 at http://www.hedgeweek.com