Tag: sec

SEC Charges Brian Williamson Former Hedge Fund PM with Misleading Investors


SEC Charges Brian Williamson Former Oppenheimer Fund PM with Misleading Investors.

Brian Willamson, hedge fund manager is being targeted by regulators for misleading clients. The SEC has charged a former portfolio manager at Oppenheimer & Co. with misleading investors about the valuation and performance of a fund consisting of other private equity funds.

SEC Lifts Ban for Hedge Fund to Advertise


SEC Lifts 80 Year Old Ban for Hedge Fund to Advertise. Hedge funds and other companies seeking private investments will be allowed to advertise publicly for funding under a rule approved on Wednesday by the U.S. Securities and Exchange Commission.…

FCA Has Ramped Up Scrunity of the Hedge Fund Industry


The UK’s Finacial Conduct Authority FCA Has Ramped Up Scrunity of the Hedge Fund Industry.
FCA – and the Bank of England’s Prudential Regulation Authority scrutiny of the hedge fund industry and in a growing sign of its reach is also paying more attention to the activities of US hedge funds with operations in the UK.

Hedge Fund News Weeky Recap


Hedge Fund News Weekly Reacap – Hedge fund deals, billionaire managers and investing news of week of May 27th to June 2nd.
Hedge Fund Managers Generate Billions of Returns in Record Start to Year
Hedge fund managers including Chris Hohn, Crispin Odey and Dan Loeb have each generated double-digit returns since the beginning of 2013 according to the The Telegraph reports.

Can SEC Flip Martoma Against Cohen?

Mathew Martoma, a former portfolio manager at a unit of SAC Capital Advisors LP

Can SEC turn Martoma against Cohen? Substantial evidence against Martoma, former portfolio manager of SAC. By Joshua Gallu & Katherine Burton To Bloomberg Prosecutors say Martoma received illegal inside information on the trial of an Alzheimer’s drug being conducted by…

Scandalous Hedge Fund SAC Warns Clients of SEC Probe


Scandalous Hedge Fund SAC issued a warning to clients Wednesday in a conference call. Hedge funds typically communicate with their investors via monthly statements and quarterly letters addressing their performance. Conference calls are infrequently held, but are sometimes scheduled to…

SEC Gets Wave of Hedge Fund Adviser Registrations


More than 1,500 hedge fund and private equity funds have registered with the U.S. Securities and Exchange Commission since the 2010 Dodd-Frank Wall Street reform law was enacted. The law for the first time required hedge fund and private equity…

Mark Angelo Yorkville Advisors Charged by SEC

Mark Angelo Yorkville Advisors

Mark Angelo $1Billion hedge fund Yorkville Advisors Charged by SEC With Fraud and Bogus Valuations. SEC charged Mark Angelo and his formerly $1 billion Jersey City, N.J., hedge fund firm, Yorkville Advisors, with fraud on Wednesday, alleging they overvalued assets…

John Paulson Says SEC Filings are Waste of Time


“I couldn’t even read the whole application,” he said  “I did review part of the application, about 40 pages (out of 500), and the information we provided doesn’t make any sense to me. How could it possibly make sense to…

SEC Green-Light’s Hedge Fund Advertising

For you my friend, 80% off - Turn key business ;)

SEC proposes new rules to implement JOBS Act provision about hedge fund solicitation and advertising in securities offerings. The Securities and Exchange Commission took a nice stride today in proposing the long awaited “new rules” for General Solicitation of a…

Hedge Fund JOBS Act Q&A

JOBS Act will allow hedge funds to advertise to investors through normal channels like, radio, print, internet, pay-per-click, banners, TV and other forms of media. Lifting the ban on advertising will certainly benefit all hedge funds, large and small. So…

Hedge Funders On the New SEC Advisory Board

Hedge Funds and their investors are well-represented on the SEC new Advisory board. Private equity has a say on the new committee, as well, in the form of Madison Dearborn Partners Mark Tresnowski, Stephen Holmes, CEO of venture capital firm…

Hedge Funds Can soon Advertise and Market their Services

Obama Expected to Sign  The Jobs Act today that  will allow hedge funds to advertise their services and directly solicit investors for the first time but regulators have concerns about the change. The Jumpstart Our Business Start-ups (Jobs) Act contains…

Hedge fund Managers Scared of SEC Knock on the Door

SEC HedgeHo- Hedge Fund

A new rule requires them to register as investment advisers and provide lots of data about their inner workings as a result. Hundreds of large managers, which already employ sizable legal teams, took the mechanics of meeting the March 30…