Tag: Securities and Exchange Commission

Financial Regulation and the Hedge Fund Industry Part 2

The Hedge Fund industry is often perceived as unregulated. It is actually not the case. In fact, since the onset of the financial crisis,...

SEC Charges Reg Cap Violations

America’s second largest bank has been charged with violating federal securities laws based on alleged overstatement of regulatory capital. The Securities and Exchange Commission...

Family Office Hedge Funds

On March 31, 2012, rules governing family office hedge funds were radically changed. The Dodd-Frank Wall Street Reform Act mandated that many family office...

Bank Restricted From Hedge Fund Sales To Client

As part of a settlement approved by the Securities and Exchange Commission (SEC) on August 5, 2014, America’s third largest bank has agreed to...

The history of Funds and Hedge Funds – Part 3 Expansion...

Until now, we have seen how earlier versions of mutual funds came into being but we have barely even scratched the surface so far;...
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