Category: Regulation

Failure to Supervise Branch Leads to Sanctions

Peyman Khosravani October 30, 2014

Tax Inversion Hedge Fund Fiascos

Peyman Khosravani October 29, 2014

FICC To Expand Tri-Party Regulation

Peyman Khosravani October 28, 2014

“Accredited Investor” Test Under Review

Peyman Khosravani October 27, 2014

SEC Fines Former Hedge Fund Manager $358 Million

Peyman Khosravani October 24, 2014

SEC: Penny Stock Gatekeeper Violations

Peyman Khosravani October 23, 2014

Hedge Fund Managers May See Change Performance Based Compensation

Peyman Khosravani October 21, 2014

Enhanced Investor Protection? It’s In The Cards

Peyman Khosravani October 20, 2014

MSRB Confabs with SEC and FINRA

Peyman Khosravani October 16, 2014

Fincen Uncovers Casino’s Bank Secrecy Act Crimes

Peyman Khosravani October 14, 2014

SEC Weighs New Asset Management Rules

Peyman Khosravani October 13, 2014

T+2 Deadline Looms

Peyman Khosravani October 11, 2014

SEC Charges Reg Cap Violations

Peyman Khosravani October 10, 2014

QE – Now QE2?

Peyman Khosravani October 8, 2014

Largest Ever SEC Whistleblower case

Peyman Khosravani October 6, 2014

SEC Probes Hedge Fund Research Firm

Peyman Khosravani October 1, 2014

Focus on the positives arising from AIFMD for asset managers

Peyman Khosravani September 30, 2014

Financial Finks: Ratting out to Regulators

Peyman Khosravani September 29, 2014

SEC Charges Minneapolis Hedge Funds with Fraud

Peyman Khosravani September 27, 2014

Apps Help Create Family Tree

Peyman Khosravani September 25, 2014

Libor Redux: Isdafix Rate Fix

Peyman Khosravani September 23, 2014

Form 13F Filings “Tell-All”

Peyman Khosravani September 22, 2014

Basel III and Hedge Fund Funding

Peyman Khosravani September 19, 2014

AIMFD: EU Hedge Fund Regulation

Peyman Khosravani September 17, 2014

Hedge Fund Due Diligence

Peyman Khosravani September 15, 2014