Portfolio Management

SEC Charges Minneapolis-Based Hedge Fund Manager with Bilking Investors and Portfolio Pumping

Adopting a set of compliance policies and procedures that form your firm’s compliance manual makes up only half the battle. The true key is then ...

This hedge fund adviser settled Advisers Act charges related to compliance and trade allocations concerns.

Manually or electronically. Restricted lists or no-holes barred. Pre-clearance or trading freedom. Firm choice and its business often define how your peers set up their ...

Earlier this year, we reported OCIE's sweep of alternative mutual fund advisers (IA Watch, April 28, 2014). Now, SEC Director of Investment Management Norm Champ ...

By the time the SEC had focused its beam on cybersecurity, StephenSmetana had already taken action. The CCO at Angeles Investment Advisors ($1.7B in AUM) ...

They may go by several names, and even have various definitions, but the fundamental component of a wrap fee program is that your client pays ...

Anxiety naturally would come to those advisers that have never been examined but yet realize they may soon be visited given OCIE's new initiative (IA ...

    Investment Company Act of 1940 — Section 15(a) RS Global Natural Resources Fund March 6, 2014 RESPONSE OF THE OFFICE OF CHIEF COUNSEL ...

If you're your firm's CCO, know that your letter could be in the mail. Last week OCIE released a three-page letter bound for senior executives ...