The National Futures Association (NFA) has permanently barred Strategic Trading Associates, a New York-based commodity trading adviser, and temporarily barred Francis Littleton, a principal and associated person of the firm. The action is a result of an NFA complaint filed
Advise Technologies, a software solutions provider for global regulatory compliance, has released a list of top tips for private funds preparing for their first SEC examination. Advise Technologies, a software solutions provider for global regulatory compliance, has released a list
The Depository Trust & Clearing Corporation (DTCC) is proposing changes to its settlement processing for money market instruments (MMIs) to boost efficiencies, improve intraday settlement finality and further reduce credit and liquidity risk in the MMI market. In a white
Timothy Spangler summarises last Friday’s decision by a US Circuit Court of Appeal to strike down the SEC’s hedge fund registration rule.
AIMA has given a cautious welcome to the decision by the US Courts of Appeals to strike down the SEC’s rule requiring hedge fund managers to register.
A DC Circuit Court of Appeals has struck down the SEC’s new rule requiring many hedge fund managers to register as investment advisers.
The US Commodity Futures Trading Commission has charged Ruben Gonzalez and Jose C. Naranjo of California and their company, New Golden Investment Group, with fraud and misappropriation in connection with a multi-million dollar Ponzi scheme. The CFTC obtained an emergency
The US Commodity Futures Trading Commission has charged Jeffrey Shalhoub of Staten Island, New York, and his company, Jeff Shalhoub Investments of Long Island City, New York, with operating a commodity futures Ponzi scheme. According to the CFTC complaint, filed
USD 9.2bn AuM BlueCrest is making its hedge fund strategies available to UK institutional and HNWI investors for the first time via an AIM-
Matteo Perruccio is to join Olympia Capital Management on June 1st, 2006 in the role of Co-CEO and also CEO of Olympia Capital Management I
