NEW YORK - (Mealey's) The U.S. attorney for the Southern District of New York, in conjunction with the Federal Bureau of Investigation, on Nov. 21 announced the unsealing of insider trading charges against a former portfolio manager for a division... Read More
WASHINGTON, D.C. - (Mealey's) The Securities and Exchange Commission adopted rules June 22 implementing "core provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act regarding investment advisers, including those that advise... Read More
The SEC continued implementing Dodd-Frank this week. New rules were issued regarding hedge fund registration and exemptions. SEC enforcement resolved two significant market crisis cases this week. In one the agency filed a settled action against J... Read More
WASHINGTON, D.C. - (Mealey's) The Securities and Exchange Commission on June 22 approved a new rule pursuant to the Dodd-Frank Wall Street Reform and Consumer Protection Act that defines "family offices" that will be excluded from the Investment... Read More
NEW YORK – (AP) New York's attorney general has sued a hedge fund management firm and two of its former executives for failing to alert clients about Bernard Madoff's investment practices. Andrew Cuomo's office claims the firm Ivy Asset... Read More