US Senator Jack Reed has introduced the Private Fund Transparency Act of 2009 in an effort to strengthen financial oversight of hedge funds and other private investment funds.
The US Commodity Futures Trading Commission has charged Patrick J.
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. The AIMA DDQ is used by prospective investors when
The Managed Funds Association says proposals and legislation relating to the regulation of hedge funds and other privately managed pools of capital in the US represent an intelligent ap
The Securities and Exchange Commission has charged two San Francisco-area men with fraud for offering investors extraordinary returns as high as 6,300 per cent when instead their money was spent on multi-million dollar home improvements and other luxuries. The SEC
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. The SEC
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. IVP RAPTOR is a regulatory technology solution supporting over USD375bn in regulatory assets under management.
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. Negotiations are ongoing, and there
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.
The US Commodity Futures Trading Commission has charged John M.
