Stephen M. Quinlivan

Stephen M. Quinlivan

Stinson Leonard Street

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SEC Uses Risk Analytics To Nab Hedge Fund

The SEC charged a London-based hedge fund adviser and its former U.S.-based holding company with internal controls failures that led to the overvaluation of a fund’s assets and inflated fee revenue for the firms. The case...more

12/13/2013 - Asset Valuations Fees Hedge Funds Internal Controls Investment Adviser SEC

First Pay-To-Play Exemption Becomes Effective For Hedge Fund

Rule 206(4)-5(a)(1) under the Investment Advisers Act prohibits a registered investment adviser from providing investment advisory services for compensation to a government entity within two years after a contribution to an...more

11/22/2013 - Hedge Funds Investment Adviser Investment Advisers Act of 1940 Pay-To-Play

Hedge Funds Begin General Solicitation

According to this article dated October 4, 2013, eight hedge funds had filed Form D’s indicating they were engaged in general solicitation. My unscientific review of 25 Form D’s (all filers, not just hedge funds) filed...more

10/11/2013 - Form D Filing General Solicitation Hedge Funds JOBS Act Rule 506 Offerings

Current SEC Priorities Regarding Hedge Fund Managers

Norm Champ, the SEC’s Director of the Division of Investment Management, recently gave a speech addressing the SEC’s priorities regarding hedge fund managers. ...more

9/13/2013 - Dodd-Frank Hedge Funds Investment Management OCIE Rule 506 Offerings SEC

SEC Whistleblowers To Receive $125,000

The SEC previously awarded three whistleblowers in a hedge fund case an aggregate of 15% of certain funds collected. The SEC has announced that approximately $170,000 has been administratively forfeited by the defendant...more

9/2/2013 - Hedge Funds SEC Whistleblower Awards Whistleblowers

SEC Awards And Denies Whistleblower Claims In Hedge Fund Case

On October 26, 2011, the Commission filed an enforcement action in SEC v. Andrey C. Hicks and Locust Offshore Management, LLC, 1:11-cv-11888-RGS (D. Mass. 2011) (the “Locust Matter”). ...more

6/13/2013 - Enforcement Fraud Hedge Funds SEC Whistleblowers

SEC Considering Changes To Advertising Rules By Hedge Funds And Private Equity

Norm Champ, Director, SEC Division of Investment Management, recently noted that SEC rules prohibit certain advertisements by registered advisers. Mr. Champ noted the SEC has heard from advisers to private funds,...more

3/13/2013 - Advertising Hedge Funds JOBS Act Private Equity Funds SEC

SEC Finding Some Hedge Funds And Private Equity Groups Are Not Complying With Custody Rule

The SEC has issued a Risk Alert on compliance with its custody rule for investment. It notes that with respect to advisers to audited pooled investment vehicles, its examinations found some failed to meet requirements to...more

3/5/2013 - Audits Custody Rule GAAP Hedge Funds Investment Fund Vehicles PCAOB Private Equity Funds SEC

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