Private Funds

EMS also committed additional violations by failing to make and keep true and accurate order memoranda and copies of all written communications sent by such ...

SEC Bars Hedge Fund Manager Charged with Asset Mismarking and Insider Trading Litigation Release No. 24548 / July 29, 2019 Securities and Exchange Commission v. ...

Claiming to have enough assets to qualify for SEC registration when an adviser doesn’t lays out a road to trouble. A new enforcement settlement bars ...

You may wish to defer any trader’s bonus until after an audit is completed after finding out how a former portfolio manager at an unidentified ...

RELEASE Number 7979-19 July 18, 2019 CFTC Orders Former Hedge Fund Portfolio Manager to Pay More than $700,000 in Monetary Sanctions for Fraudulently Mismarking Swaps ...

Salus never held any RAUM at any time, and had no reasonable expectation of having sufficient RAUM to qualify for registration. It also never advised ...

After the fund administrator discovered the unauthorized withdrawals, Byun, on behalf of Denali Investors, entered into an agreement with the fund administrator to repay the ...

You don’t have to be registered with the CFTC or even in the U.S. to face punishment by the regulator – as a Hong Kong-based ...

RELEASE Number 7955-19 July 2, 2019 CFTC Charges Hedge Fund with Violating Wheat Futures Speculative Position Limits Washington, DC — The Commodity Futures Trading Commission ...

The Commission’s complaint alleged that Chiat defrauded investors in the funds, and violated his fiduciary duty as an adviser to the funds, by making false ...