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Category Archives: Hedge Fund Regulation

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 […]

Hedgie Scaramucci Speaks Out On Stephen Cohen

New York (HedgeCo.Net) – Hedge fund millionaire Anthony Scaramucci spoke to CNBC yesterday regarding the looming SAC Capital settlement with the SEC, saying “The Department of Justice and the SEC are gone crazy in these matters.” “I think it’s sad […]

The SEC’s Proposal on Crowdfunding

New York (HedgeCo.Net) – The SEC yesterday voted unanimously to propose rules under the JOBS Act to permit companies to offer and sell securities through crowdfunding. “There is a great deal of excitement in the marketplace about the crowdfunding exemption, […]

Steven Cohen’s Hedge Fund Deal Nears Resolution

New York (HedgeCo.Net) – CBS News reports that according to an anonymous source, SAC Capital has “reached a tentative deal with federal prosecutors to settle the case and pay more than $1 billion in fines and forfeitures.” Although the deal […]

Survey: Hedge Fund Managers Are Investing In Compliance

New York (HedgeCo.Net) – Hedge fund managers are making significant investments in their firms’ infrastructure to comply with new regulatory requirements, according to a new global survey. The average spend on compliance was at least $700,000 for small fund managers, $6 […]

SEC Charges Hedge Fund Firm With Violations of Market Access Rule

New York (HedgeCo.Net)  -  Hedge fund Manager Knight Capital Americas LLC has agreed to pay $12 million to settle charges that it violated the SEC’s market access rule in connection with the firm’s Aug. 1, 2012 trading incident that disrupted […]

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