Tag Archives: finra
Hedge Fund Registration is Likely to be Required by the End of 2009 – How to Prepare Your Fund
New York (HedgeCo.net) – There are currently several proposals on the floor of Congress that would affect the future of hedge fund regulatory requirements. The proposals call for increased transparency and accountability of hedge funds in a governmental mission to […]
Stanford workers had ties to regulator FINRA
Reuters – Two employees of Allen Stanford’s financial business, which U.S. regulators have accused of massive fraud, held advisory roles at a watchdog group overseeing U.S. broker-dealers aimed at preventing abuses. Lena Stinson, director of global compliance at Stanford Financial […]
