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Category Archives: Hedge Fund Regulation

Hedge Fund Management Fees Are Subject to Social Security Taxes

New York (HedgeCo.Net) – Eurekahedge reports in an article by Mark Leeds and Mayer Brown that a recent Internal Revenue Service (IRS) audit ruling highlights planning traps that can dramatically affect when Social Security taxes can be imposed. On September 5, […]

5 Years Behind Bars For Former Hedge Fund Analyst

New York (HedgeCo.Net) – A former analyst for a hedge fund investment adviser in San Francisco, California, has received a 3 year prison sentence for his part in a $27 million fraud scheme based on insider trading, The New York […]

SEC Takes A Closer Look At Hedge Fund Investment Advisers

New York (HedgeCo.Net) – Hedge fund regulatory adviser FrontLine Compliance reports that the SEC has been exerting its force with the registered investment adviser community this year. Several enforcement cases made public by the SEC have focused on registered advisers […]

Hedge Fund Manager Charged With Lying To Investors Over Madoff Losses

New York (HedgeCo.Net) - Former hedge fund manager Nikolai Battoo has been ordered to pay more than $358 million in a SEC lawsuit stemming from million in losses Battoo hid from investors. “This is an appropriate penalty because of the sheer […]

HFA Seeks Clarification Of “Accredited Investor” In JOBs Act

New York (HedgeCo.Net) – The Hedge Fund Association yesterday submitted a comment letter to the U.S. Securities and Exchange Commission (SEC) as the regulatory agency considers proposed changes to the definition of an “accredited investor” under Rule 501 of Regulation […]

The 100 Most Influential People In Finance

New York (HedgeCo.Net) – Finance and lifestyle magazine for high net worth readers, Worth, has published its annual list of the 100 most powerful people in finance in its October/November 2014 issue. Highlights from the Worth Power 100 are below: […]

Two Charged With Insider Trading On Hedge Fund’s Herbalife Strategy

  New York (HedgeCo.Net) – The Securities and Exchange Commission yesterday charged Filip Szymik and Jordan Peixoto for insider trading when they heard hedge fund manager William Ackman and his hedge fund hedge fund, Pershing Square Management, had taken a […]

Hedge Funds Now Allowed to Advertise to Public

New York (HedgeCo.Net) – One year ago, the SEC adopted Title II of the Jobs Act, removing the ban on general solicitation and creating enormous opportunities for capital formation. The elimination of the ‘do not solicit’ rule allows companies with […]

Barclays Capital Pays $15 Million For Compliance Failures After Acquiring Lehman’s Advisory Business

New York (HedgeCo.Net) – Barclays Capital has agreed to pay a $15 million penalty and to undertake remedial measures after being charged by the Securities and Exchange Commission with failing to maintain an adequate internal compliance system to ensure the […]

JOBs Act: SEC Warns Hedge Funds Of Misrepresenting Themselves In Advertising

New York (HedgeCo.Net) – The SEC has warned that 13 hedge funds and their advisers have been only reporting favorable information about themselves, leaving out their losing bets in past performance when advertising under the new JOBs Act. “We plotted […]

Fitch Report On Hedge Fund Reinsurance

New York (HedgeCo.Net) – Fitch reports today that newly formed hedge fund reinsurers are unlikely to achieve an Insurer Financial Strength rating in the ‘A’ category under Fitch Ratings’ methodology. This is due to both general constraints applied to start-up […]

AIMA Updates Hedge Fund Manager Due Diligence, Adding Post-Crisis Regulatory Directives

New York (HedgeCo.Net) – Reflecting recent regulatory changes, including the Alternative Investment Fund Managers Directive (AIFMD), AIMA has updated its flagship due diligence questionnaire (DDQ) for hedge fund managers, adding over 90 questions. “While much of the post-crisis regulation has […]

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