Author: David Kinnear

“Marking The Close” – A Prohibited Practice

David Kinnear November 7, 2023

Regulation Systems Compliance and Integrity

David Kinnear December 17, 2014

Holistic Medicine for Hedge Funds

David Kinnear December 15, 2014

‘Bad Actor’ Granted Hedge Fund Waiver – For Now

David Kinnear December 11, 2014

Veteran Hedge Fund a Victim Of October Surprise

David Kinnear December 9, 2014

Hedge Funds Going to Pot – As in Cannabis

David Kinnear December 5, 2014

Jury: Swiss Banker Not Guilty of Aiding Tax Evasion

David Kinnear November 19, 2014

Bank’s Forex Legal Woes Could Hit $5.9 Billion

David Kinnear November 18, 2014

FCPA: $7.5 Million Bribe Yields $14.4 Million Fine

David Kinnear November 17, 2014

Cherry-Picking Season for Hedge Funds

David Kinnear November 14, 2014

Harsh Rules Yield October Surprise For Hedge Funds

David Kinnear November 13, 2014

CFTC OCR: New Day, New Rules, New Forms for Traders

David Kinnear November 12, 2014

Lead Auditors Must Rotate – Or Pay Fine

David Kinnear November 11, 2014

Keeping Custodians Clean

David Kinnear November 10, 2014

“Stock Analyzer” Marketing Led to Securities Violation

David Kinnear November 5, 2014

Six Agencies Approve Final Risk Retention Rule

David Kinnear November 4, 2014

Broken Engagement? SEC uses data against advisers

David Kinnear November 3, 2014

Failure to Supervise Branch Leads to Sanctions

David Kinnear October 30, 2014

Tax Inversion Hedge Fund Fiascos

David Kinnear October 29, 2014

FICC To Expand Tri-Party Regulation

David Kinnear October 28, 2014

“Accredited Investor” Test Under Review

David Kinnear October 27, 2014

SEC Fines Former Hedge Fund Manager $358 Million

David Kinnear October 24, 2014

SEC: Penny Stock Gatekeeper Violations

David Kinnear October 23, 2014

Nauru Defaults – Then Wins Interim Victory

David Kinnear October 22, 2014

Enhanced Investor Protection? It’s In The Cards

David Kinnear October 20, 2014