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. The Commission’s complaint alleged that Marks managed and recommended various fund of funds hedge
Gottex Fund Management Holdings’ co-founder, Max Gottschalk, has moved to Hong Kong to help further grow the company’s business in Asia Pacific. Gottschalk, who is a Senior Managing Director, Head of Asia and Global Head of Marketing, as well
The US Commodity Futures Trading Commission has issued an order filing and simultaneously settling charges against Goldman Sachs & Co for failing to make and keep certain audio recordings as required under CFTC regulations for swap dealers. The order requires
The Depository Trust & Clearing Corporation (DTCC) has appointed Donna M Milrod as chief administrative officer, effective mid-October. Milrod (pictured) will report to president and chief executive officer Michael Bodson and serve as a member of the company’s management committee. Milrod
Offshore law firm Mourant du Feu & Jeune has appointed James Wauchope as an equity partner in the Cayman Islands. Wauchope (pictured) specialises in all areas of offshore finance and corporate work, with a particular focus on investment funds. He
Peter Hugh Smith is to join Capita Asset Services as managing director of Capita Financial Managers Limited in November 2014. He joins from WAY Fund Managers where he has held the position of CEO since August 2012. Chris Addenbrooke,
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. The Court also ordered Mowen to pay a civil
Woori Absolute Partners (WAP), a Singapore based alternative investment management firm, and NewAlpha Asset Management (NewAlpha), the European based global hedge fund incubation specialist have teamed up to launch an Asia based investment vehicle which will seed emerging hedge fund
Charles River has expanded its Investment Book of Record (IBOR) offering by integrating Interactive Data’s Corporate Actions Service as an integral part of the Charles River Investment Management Solution (IMS). Charles River clients now have intraday access to Interactive Data’s
