Search for: "Julie Hedges"
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2 Apr 2011, 1:48 pm
” A federal court has stated that a “client” of an investment adviser managing a hedge fund is the hedge fund itself, not an investor in the hedge fund. [read post]
8 Jun 2009, 4:24 am
"The July 2007 amended complaint presents three main allegations against S & K. [read post]
1 Aug 2013, 4:18 pm
The SEC also plans to provide non-proprietary Form PF data about large hedge funds to the International Organization of Securities Commission for its report on the global hedge fund market. [read post]
18 Oct 2013, 6:01 am
More recently, in July 2013, SAC Capital Advisors, a $15 billion hedge fund, was slapped with a criminal complaint that threatens the fund’s existence, even after having agreed to pay a $616 million civil penalty, the largest-ever settlement of an insider trading action. [read post]
7 Jul 2020, 3:00 am
On July 2, 2020, a judge in Ingham County, Michigan issued what appears to be the first substantive decision in a COVID-19 business interruption coverage case. [read post]
9 Oct 2009, 12:39 pm
When the SEC filed their lawsuit on July 8, 2009, the assets of Bell, his wife, and Lancelot Investment Management, LLC were all frozen. [read post]
30 Jan 2015, 5:00 am
SEC Co-Chief of Division of Enforcement’s Asset Management Unit Identifies 2015 Exam Priorities for Hedge and Private Equity Funds in the National Law Review On November 18, 2014, Julie M. [read post]
16 Sep 2009, 8:07 pm
Between July and October 2007, UBS sold the hedge fund CDOs valued at $40.5 million. [read post]
7 Feb 2024, 9:00 am
The European Parliament and Council of the EU reached political agreement on the proposed Directive in July 2023. [read post]
28 Feb 2012, 9:11 am
Whitman’s trial is scheduled for July. [read post]
15 Aug 2007, 2:00 am
Connecticut Senator Chris Dodd is drawing increasing scrutiny for his reluctance to support to efforts to close the "carried interest" loophole, which allows wealthy hedge fund managers to claim capital gains tax breaks for income that can't really be described as capital gains.To be clear, Dodd hasn't said he won't vote for these loophole-closing efforts-- he's just said he wants to think more about it: "I am concerned about the potential adverse effects… [read post]
26 Jul 2021, 5:59 am
Posted by Icko Suzuki (Waseda University), on Monday, July 26, 2021 Editor's Note: Kazunori Suzuki is Professor of Finance at Waseda Business School. [read post]
15 Jul 2010, 6:35 pm
As for the Pequot investigation, last month the hedge fund and its chief executive Arthur Samberg agreed to settle the SEC’s insider trading case for $28 million. [read post]
30 Jun 2011, 2:00 am
Once registered, hedge funds will have to comply with certain restrictions and reporting requirements.[2] Venture capital funds will not have to register, but beginning on July 21, 2011, they will have to file reports with the SEC detailing basic identifying information, conflicts of interest, and disciplinary history, if any. [read post]
31 Dec 2010, 11:26 am
For the full SEC release, please see SEC Extends Compliance Deadline for ADV Part 2. **** Other related articles: New Form ADV Part 2 Important Hedge Fund Articles Bart Mallon Esq. is a hedge fund attorney and provides hedge fund compliance services through Mallon P.C. [read post]
23 Jul 2009, 8:45 am
On July 15, the Treasury Department delivered such proposed legislation to Congress. [read post]
20 Nov 2012, 9:33 pm
In the middle of July, the two spoke almost daily, with their conversations culminating in a call lasting an hour and 45 minutes on July 17th. [read post]
12 Jan 2012, 11:55 am
While the rules have yet to be finalized, many large banks are actively divesting their proprietary trading desks to prepare for the July 21, 2012 implementation date. [read post]
5 Mar 2011, 2:00 am
Currently, many private fund managers (including venture, hedge and private equity fund managers) do not register as investment advisers in reliance on Rule 260.204.9. [read post]
23 Feb 2011, 1:26 pm
The proposed prohibition on hedging applies to entry into arrangements on or after commencement (1 July 2011), irrespective of whether the remuneration was for services rendered before, on or after 1 July 2011. [read post]
