Hedge Funds, SEC | JD Supra Law News

2013 Mutual Funds and Investment Management Conference

by Ropes & Gray LLP on 4/10/2013

In this presentation: - General Counsel’s Address - Keynote Address - General Session — It’s a Small World After All: How Non-U.S. Regulators Affect Your Business - General Session — Closer to...more

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

by Stephen M. Quinlivan | Leonard, Street and Deinard - Dodd-Frank and... on 3/13/2013

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

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

by Stephen M. Quinlivan | Leonard, Street and Deinard - Dodd-Frank and... on 3/5/2013

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

Hedge Funds And Private Equity Groups On SEC Examination Priority List

by Jill Radloff | Leonard, Street and Deinard - Dodd-Frank and... on 2/25/2013

The Office of Compliance Inspections and Examinations, or OCIE, administers the SEC’s nationwide examination and inspection program. The National Examination Program, or NEP, has published its examination priorities to...more

Insider Trading Cases Continue to Mount Against Hedge Funds

by Bettina Eckerle on 2/24/2013

Insider trading is increasingly becoming a top compliance concern for hedge fund managers and their firms. In total, the SEC brought 58 insider trading actions in FY 2012 against 131 individuals and entities. According to the...more

Insider Trading Cases Continue to Mount Against Hedge Funds

by Bettina Eckerle on 2/21/2013

Insider trading is increasingly becoming a top compliance concern for hedge fund managers and their firms. In total, the SEC brought 58 insider trading actions in FY 2012 against 131 individuals and entities. According to the...more

Investment Management Legal + Regulatory Update -- February 2013

by Luke T. Bagley, Jay G. Baris, Thomas M. Devaney, Kelley A. Howes, Robert E. Putney, III, Isabelle Sajous | Morrison & Foerster LLP on 2/14/2013

In This Issue: Regulatory Updates - FINRA overhaul of communications rules becomes effective and ICI and CoC appeal Rule 4.5 ruling. Enforcement + Litigation - Enforcement Division priorities target hedge...more

A Compilation of Enforcement and Non-Enforcement Actions - January 31, 2013

by Michael G. Dana, Peter D. Fetzer, Terry D. Nelson | Foley & Lardner LLP on 1/31/2013

In This Issue: Non-Enforcement Matters - FINRA Announces Regulatory and Examination Priorities for 2013 - SEC Previous Hedge Fund Enforcement Trends for 2013 Enforcement Matters - Another...more

The SEC Is Scrutinizing Asset Valuations—Are You Ready?

by Jay A. Dubow | Pepper Hamilton LLP on 1/10/2013

The Securities and Exchange Commission (SEC) recently has set its sights on registered entities and their officers and directors for overvaluing the entities’ assets....more

A Compilation of Enforcement and Non-Enforcement Actions - December 28, 2012

by Michael G. Dana, Peter D. Fetzer, Terry D. Nelson | Foley & Lardner LLP on 12/28/2012

In This Issue: Non-Enforcement Matters: - New SEC Registrants Under Dodd-Frank to Be Focus of SEC Examination Program - FINRA Rule 5123 Revisited Enforcement Matters: - SEC Accuses...more

Head of SEC Enforcement Division's Asset Management Unit Addresses Hedge Fund Enforcement Priorities

by Jason F. Clouser, William M. Regan | Katten Muchin Rosenman LLP on 12/28/2012

Bruce Karpati, Chief of the Securities Exchange Commission Enforcement Division’s Asset Management Unit (AMU), spoke before the Regulatory Compliance Association earlier this week to address the AMU’s current enforcement...more

SEC Official Describes Enforcement Priorities For Hedge Funds

by Jill Radloff | Leonard, Street and Deinard - Dodd-Frank and... on 12/28/2012

Bruce Karpati, Chief, SEC Enforcement Division’s Asset Management Unit, recently described enforcement priorities with respect to hedge funds. He noted the Asset Management Unit, comprised of 75 staff across 11 offices,...more

Head of Asset Management Unit at SEC Enforcement Shares Hedge Fund Enforcement Priorities

by Jonathan R. Massey, Michael L. Sherman, David A. Vaughan | Dechert LLP on 12/27/2012

In a recent speech, Bruce Karpati, Chief of the Asset Management Unit (AMU)within the Division of Enforcement (Division) of the U.S. Securities and Exchange Commission (SEC), discussed his view of the current enforcement...more

Former Hedge Fund Founder Ordered to Pay $5 Million for Securities Law Violations

by Michael S. Gordon, Elizabeth D. Langdale | Katten Muchin Rosenman LLP on 12/13/2012

The US District Court for the Southern District of New York recently ordered the investment adviser to two hedge funds, and its managing director, to pay nearly $5 million in disgorgement, prejudgment interest and civil...more

Corporate and Financial Weekly Digest - December 7, 2012

by Katten Muchin Rosenman LLP on 12/10/2012

In this issue: - SEC Sets Rulemaking Agenda for 2013 - SEC Accountants Speak at AICPA Conference - Register for Our 2013 Proxy Season Update Webinar - CFTC Issues No-Action Relief from CPO...more

Will Rakoff Opinion Impact Decision on Steven Cohen?

by Tom Sporkin on 12/5/2012

A recent opinion of U.S. District Judge Jed Rakoff considering remote tippee liability may be influencing some government charging decisions. Judge Rakoff's November 14, 2012 opinion addressed what prosecutors must show about...more

A Compilation of Enforcement and Non-Enforcement Actions - November 30, 2012

by Michael G. Dana, Peter D. Fetzer, Terry D. Nelson | Foley & Lardner LLP on 12/1/2012

In This Issue: Non-Enforcement Matters - SEC Approves New FINRA Rule on Private Placement Offerings - Private Fund Advisers Come Into Compliance With Dodd-Frank Requirements Enforcement Matters - ...more

The Government's War Against Financial Industry Crimes Continues with a Record-Breaking Insider Trading Case, But It's Still Too...

by Robert J. Anello | Morvillo Abramowitz Grand Iason & Anello P.C.... on 11/21/2012

The Department of Justice and Securities Exchange Commission loudly have trumpeted victories achieved in their renewed battle against insider trading and Wall Street malfeasance, repeatedly warning that there are more cases...more

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Hedge Funds › Securities & Exchange Commission

2013 Mutual Funds and Investment Management Conference

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

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

Hedge Funds And Private Equity Groups On SEC Examination Priority List

Insider Trading Cases Continue to Mount Against Hedge Funds

Insider Trading Cases Continue to Mount Against Hedge Funds

Investment Management Legal + Regulatory Update -- February 2013

A Compilation of Enforcement and Non-Enforcement Actions - January 31, 2013

The SEC Is Scrutinizing Asset Valuations—Are You Ready?

A Compilation of Enforcement and Non-Enforcement Actions - December 28, 2012

Head of SEC Enforcement Division's Asset Management Unit Addresses Hedge Fund Enforcement Priorities

SEC Official Describes Enforcement Priorities For Hedge Funds

Head of Asset Management Unit at SEC Enforcement Shares Hedge Fund Enforcement Priorities

Former Hedge Fund Founder Ordered to Pay $5 Million for Securities Law Violations

Corporate and Financial Weekly Digest - December 7, 2012

Will Rakoff Opinion Impact Decision on Steven Cohen?

A Compilation of Enforcement and Non-Enforcement Actions - November 30, 2012

The Government's War Against Financial Industry Crimes Continues with a Record-Breaking Insider Trading Case, But It's Still Too...

Insights Special Edition: "Dodd-Frank Rulemaking: Volcker Rule and SIFI Proposals"

Dodd-Frank Update: New Private Fund Rules Released

White Paper: Impact of Dodd-Frank on Investment Advisers

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