Hedge funds with regulatory assets under management in excess of $100 million are required to register with the U.S. Securities and Exchange Commission (SEC). Advisors who have regulatory capital.
Hedge funds latest news and research. It’s just over a year since PAAMCO Prisma debuted Launchpad, a co-investment platform for seeding and supporting emerging hedge funds with Employees Retirement System of Texas (ERS) as its inaugural investment partner.
Hedge fund firm Deer Park Road Management has agreed to pay the Securities and Exchange Commission $5 million for "compliance failures" related to its asset-valuation policies, the regulator announced Tuesday. The firm’s chief investment officer scott burg will also pay a $250,000 penalty to settle the matter.
Hi everyone! Currently I have offers from a relatively good proprietary trading firm (say, DRW, SIG, Optiver) and a medium-sized hedge fund. I really like both of them and it’s very hard to decide which is better. Which of them is better for long-term? Is it possible/common to move from a hedge
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Visium Asset Management, a hedge fund advisor, agreed pay over $10 million to settle SEC charges related to asset mismarking and insider trading by its privately managed hedge funds and portfolio managers. Separately, Visium CFO Steven Ku agreed to pay a $100,000 fine and serve a 12-month suspension to settle SEC charges that he failed to respond appropriately to red flags that should have.
“The SEC hasn’t gotten billions from anyone.” No one at the SEC has publicly explained what derailed the regulator’s Goldman mortgage bond investigation. cohen, the hedge fund manager whose former.
A number of trading and clearing blunders by Wedbush Securities Inc. pertaining to a customer’s redemption activity and trading of leveraged ETFs has led FINRA and the NASDAQ Stock Market to fine the firm $675,000. Wedbush acted as the clearing firm for its broker-dealer customer, Scout Trading, and as an authorized participant of varying exchange-traded.
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(HedgeCo.Net) The Securities and Exchange Commission has charged a Connecticut-based investment advisory firm and its chief executive officer with putting $19 million of investor money, including elderly investors’ retirement savings and pension plans, in risky investments and secretly pocketing hefty commissions from those investments.