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Category Archives: Hedge Fund Regulation

Hedge Fund Regulation: SEC Names New Chief of Complex Financial Instruments Enforcement Unit

New York (HedgeCo.net) – The SEC today announced that Michael J. Osnato, Jr. has been named chief of the Enforcement Division unit that conducts investigations into complex financial instruments. “I am honored and gratified to have this opportunity to lead […]

Hedge Fund Regulation: Banks Want CDO Exception To Volcker Rule

New York (HedgeCo.Net) – The SEC and other federal regulars are reviewing whether or not certain CDOs backed by trust preferred securities should be subjected to new regulation under the final Volcker rules. Reuters reports that this would be the […]

Hedge Fund Regulation: Final Implementation Of The Volcker Rule

New York (HedgeCo.Net) – Coming into effect April 1, 2014, the final rules implementing the new Volcker regulations prohibit banking entities (and their investments in hedge funds) from making risky bets that solely benefit the banks and not the investor. The […]

Man Hedge Fund to Pay $9 Million In Overvaluation Case

New York (HedgeCo.Net) – One of Man Group’s hedge funds, GLG Partners L.P., and its former holding company GLG Partners Inc. agreed to pay nearly $9 million to settle SEC charges over internal failures that led to the overvaluation of fund […]

BNY Mellon To Help Hedge Funds Master New Regulations

New York (HedgeCo.Net) – In order to help hedge fund managers cope with the new regulations laid out by the Alternative Investment Fund Manager’s Directive (AIFMD), BNY Mellon has launched a service that helps fund managers identify, aggregate and manage […]

Volcker Rule: New Legislation May Affect Hedge Fund Prime Brokers

New York (HedgeCo.Net) – As regulators prepare to vote on the proposed Volcker legislation that restricts banks from making risky bets, Albert Kyle at the University of Maryland says that the new rules may make hedge fund investments riskier unless their broker dealers […]

Hedge Fund Investing: The SEC Roundtable On Proxy Advisors

New York (HedgeCo.Net) – The SEC over the weekend announced the agenda and panelists for its December 5 staff roundtable on the use of proxy advisory firm services by institutional investors and hedge fund investment advisers. The roundtable panelists are: […]

Goldman Sachs To Dump Hedge Funds To Comply With Volcker Regulations

New York (HedgeCo.Net) – In order to comply with new regulatory changes, Goldman Sachs has said that it is winding down it’s hedge fund business, CNBC reports. Lloyd Blankfein, CEO of the investment giant, indicated that clients will continue to […]

SEC Makes Deferred Prosecution Agreement With Hedge Fund Administrator

New York (HedgeCo.Net) – For the first time in SEC history the agency has deferred prosecution against a former hedge fund administrator who helped the SEC take action against a hedge fund manager who stole investor assets. The SEC agreed […]

SEC Probing Goldman’s Currency Trading Activities

New York (HedgeCo.Net) – Goldman Sachs Group revealed in a regulatory filing on Thursday that it is being investigated over its currency trading activities. The SEC has begun a regulatory probe into the company, including one into its commodities trading, Goldman is cooperating […]

SEC Charges RBS Subsidiary with Misleading Investors

New York (HedgeCo.net) – RBS Securities Inc., is under fire by the SEC for misleading investors in a 2007 subprime residential mortgage-backed security (RMBS) offering.  RBS agreed to settle the matter and pay more than $150 million, which the SEC […]

Defrauding Investors: Whistleblower Awarded More Than $150,000 By SEC

New York (HedgeCo.Net) – The SEC today awarded more than $150,000 to a whistleblower whose tips helped the agency stop a scheme that was defrauding investors. “This is continued momentum and success for the SEC’s whistleblower program that is bringing […]

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