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Category Archives: HedgeCo News

SEC Launches Share Class Selection Disclosure Initiative to Encourage Self-Reporting and the Prompt Return of Funds to Investors

(Hedgeco.Net) The Division of Enforcement of the Securities and Exchange Commission has announced a self-reporting initiative that seeks to protect advisory clients from undisclosed conflicts of interest and return money to investors. Under the Share Class Selection Disclosure Initiative (SCSD […]

Deutsche Bank to Repay Misled Customers

(HedgeCo.Net) The Securities and Exchange Commission today instituted an enforcement action against Deutsche Bank Securities Inc., which has agreed to repay more than $3.7 million to customers, which includes $1.48 million that was ordered as disgorgement. The SEC’s investigation found […]

Ski Slope Investment Scheme Agrees to Pay Back Investor Money, Surrender Properties

(Hedgeco.Net) The Securities and Exchange Commission has announced that the Miami-based businessman behind an alleged scheme involving investments in a Vermont-based ski resort has agreed to pay back more than $81 million of investor money that he used illegally. According […]

SEC Halts Ongoing Fraud by Purported Hedge Fund Manager

(HedgeCo.Net) The Securities and Exchange Commission has charged a purported hedge fund manager in New York City with a brazen offering and investment adviser fraud thereby putting an end to an ongoing scheme. The SEC alleges that, since at least […]

Alleged Perpetrator of Ski Slope Investment Scheme Agrees to Pay Back Investor Money, Surrender Properties

(HedgeCo.Net) The Securities and Exchange Commission today announced that the Miami-based businessman behind an alleged scheme involving investments in a Vermont-based ski resort has agreed to pay back more than $81 million of investor money that he used illegally. According […]

How hedge funds can reduce tail risk during a market sell-off

(HedgeCo.Net) On Friday the Dow Jones Industrial average fell 665 points causing many investors to wonder if the 9 year bull market has come to an end. History has proven that most investors are terrible at predicting the direction of […]

SEC Halts Ongoing Fraud by Purported Hedge Fund Manager

(HedgeCo.Net) The Securities and Exchange Commission Friday charged a purported hedge fund manager in New York City with a brazen offering and investment adviser fraud thereby putting an end to an ongoing scheme. The SEC alleges that, since at least […]

SEC Halts Alleged Initial Coin Offering Scam

(HedgeCo.Net) The Securities and Exchange Commission obtained a court order halting an allegedly fraudulent initial coin offering (ICO) that targeted retail investors to fund what it claimed to be the world’s first “decentralized bank.” According to the SEC’s complaint, filed […]

Six Accountants Charged with Using Leaked Confidential Data

(HedgeCo.Net) The Securities and Exchange Commission has announced charges against six certified public accountants – including former staffers at the Public Company Accounting Oversight Board (PCAOB) and former senior officials at KPMG LLP – arising from their participation in a […]

SEC Invites Regulated Entities to Voluntarily Submit Self-Assessments of Diversity Policies and Practices

(HedgeCo.Net) The Securities and Exchange Commission (SEC) Office of Minority and Women Inclusion (OMWI) today introduced its Diversity Assessment Report for Entities Regulated by the SEC. OMWI created the Diversity Assessment Report to complement the Interagency Policy Statement Establishing Joint […]

SEC Invites Regulated Entities to Voluntarily Submit Self-Assessments of Diversity Policies and Practices

(HedgeCo.Net) The Securities and Exchange Commission (SEC) Office of Minority and Women Inclusion (OMWI) today introduced its Diversity Assessment Report for Entities Regulated by the SEC. OMWI created the Diversity Assessment Report to complement the Interagency Policy Statement Establishing Joint […]

Robert Jackson and Hester Peirce Sworn In as SEC Commissioners

(HedgeCo.Net) Robert J. Jackson Jr. and Hester M. Peirce have been sworn into office as SEC Commissioners by SEC Chairman Jay Clayton. Mr. Jackson and Ms. Peirce were nominated to the SEC by President Donald Trump, and their nominations were […]

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