Article: Alternative Funds in the Registered Fund Marketplace Oct7

Posted by & filed under Compliance, Hedge Fund Assets, Hedge Fund Investors, Press.

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The following article was written by Alan Gedrich & Christopher Zimmerman, attorneys at Stradley Ronon Stevens & Young. Growing in popularity, alternative investment mutual funds raise a variety of issues under the Investment Company Act and the Investment Advisers Act.  What is the role of fund boards?  What are the constraints on investment? Which recent regulatory

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An SEC Ease, An Ackman Raise, And Permabear Hibernation? Oct1

Posted by & filed under Compliance, Events, Hedge Fund Assets, Hedge Fund Investors.

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SEC Eases Citi Hedge Fund Restrictions With Waivers: WSJ Back in late August, Citigroup (C) struck a deal with the government related to its sale of collateralized debt obligations in 2006 and 2007, which would have limited its ability to sell investments in hedge funds and private equity. However, regulators have had a change of heart: A five-member Securities

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New SEC Sanctions, Sears’ March to Oblivion, and China’s Japanification Sep17

Posted by & filed under Compliance, Hedge Fund Assets, Hedge Fund Investors, Press.

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SEC sanctions 19 firms and one individual trader for short selling violations The Securities and Exchange Commission (SEC) has imposed a further 20 sanctions in its continuing enforcement initiative against hedge fund advisers and private equity firms illegally participating in stock offers short selling the stock during a restricted period. The SEC last year announced the

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The “Sweep Exams”, a Richard Chilton Video, and an Industry in Flux Jun25

Posted by & filed under Compliance, Events, Hedge Fund Assets, Hedge Fund Investors, Press.

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Popular liquid alts funds face regulatory scrutiny The fastest-growing segment of the mutual fund business is facing new scrutiny this summer from regulators who say they plan to zero in on both the marketing of the funds and the investment strategies they employ. Sources familiar with the Securities and exchange Commission’s plan to focus on

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What Hedge Fund Managers and Directors Need to Know About Their Liability Mar12

Posted by & filed under Compliance.

Richard A. Maloy, Jr, CIC, CRM; CEO of Maloy Risk Services, Inc. has written a white paper discussing the potential liability that managers and directors face today. Some of the key points of the paper include the risk of high cost litigation, Obama’s continued pressure on the financial industry, and regulatory investigations. In this current

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