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- SEC preparing to register hedge funds.(Managed Money Review)(Securities and Exchange Commission)
- The Securities and Exchange Commission took a step closer to requiring hedge fund managers to register despite differing opinions within the agency. Chairman William H. Donaldson, in a March speech, said the SEC staff is "preparing a proposed ru The Securities and Exchange Commission took a...
- Research articles 2004-04-01
- INVESTORS SPEAK OUT: Hedge fund regulations seen as two-edged sword; Transparency, disclosure are the hot topics.(News)
- Byline: Chris Clair Institutional investors may want access to more information about hedge funds and their managers, but they fear overregulation, an informal survey by Pensions & Investments shows. "I understand why the SEC is looking Byline: Chris Clair ...
- Research articles 2003-05-26
- Hedge fund manager may challenge SEC - again.(Short Interests)
- Byline: Riva Froymovich Activist hedge fund manager Phillip Goldstein is getting ready to take on the Securities and Exchange Commission once again. Mr. Goldstein, who recently won a legal battle with the SEC over a rule...
- Research articles 2006-09-18
- One on One With Phillip Goldstein of Opportunity Partners LP.(One on One)
- Byline: Jeff Benjamin Phillip Goldstein is emerging as perhaps an unlikely burr under the saddle of the Securities and Exchange Commission. The 59-year-old retired civil engineer transitioned into the asset management world 12 years ago ...
- Research articles 2004-11-29
- Hedge funds may gain new fans; Registration makes them more palatable to financial advisers.(News)
- Byline: Jeff Benjamin DETROIT - Last week's decision by the Securities and Exchange Commission to require the majority of hedge fund managers to register as investment advisers could have the unintended consequence of creating a seal of appro ...
- Research articles 2004-11-01
- Hedge fund industry braces for showdown; Registration could mean manager turnover.(News)
- Byline: Jeff Benjamin DETROIT - With the deadline requiring hedge fund managers to register as investment advisers with the Securities and Exchange Commission by Wednesday, much of the $1 trillion hedge fund industry is bracing for a showdown ...
- Research articles 2006-01-30
- Hedge funds take their time in registering; Many seem to be in no hurry to meet a December deadline.(News)
- Byline: Christine Williamson CHICAGO - Hedge fund managers are taking their time in registering with the Securities and Exchange Commission. With the practical registration deadline three months away, just more than half of the 50 larges...
- Research articles 2005-09-12
- SEC's latest proposal makes no sense.(Editorial)
- The Securities and Exchange Commission continues to forge ahead in its quest to wrap some kind of regulatory lasso around the $1.2 trillion hedge fund industry. Why it is doing so isn't entirely clear. The SEC's...
- Research articles 2007-02-12
- Hedge fund managers slow in meeting SEC registration rule.(Securities and Exchange Commission)
- Byline: Christine Williamson Hedge fund managers are taking their time in registering with the SEC. With the practical registration deadline three months away, just more than half of the 50 largest hedge funds have yet to file Form ADV, accordi ...
- Research articles 2005-09-05
- Bracken: SEC Registration Solves Nothing - Hedge Fund Manager Erik Volfing Explains The Negative Implications Of Increasing The Regulatory Burden Of Hedge Funds.(Securities and Exchange Commission)
- On September 29 2003, the US Securities and Exchange Commission SEC reported on the hedge fund industry after a 15-month investigation. The most significant recommendation is for hedge fund managers to register with the SEC under the Investment Com On September 29 2003, the US Securities...
- Research articles 2004-08-01
- Hedge fund managers may see new regulations from SEC.
- By Daniel Dunaief, Daily News, New York Knight Ridder/Tribune Business News By Daniel Dunaief, Daily News, New York Knight Ridder/Tribune Business News
- Research articles 2004-07-15
- Suit over hedge fund registration on, but industry isn't holding its breath; With deadline looming, some say manager is waging a losing war.(News)
- Byline: Jeff Benjamin DETROIT - Against all odds, Phillip Goldstein is pushing ahead with a lawsuit challenging the Securities and Exchange Commission's authority to require hedge fund managers to register as investment advisers. Mr. Go...
- Research articles 2005-10-17
- Oversight concerns aren't registering with hedge funds; Some feel registration may widen distribution.(News)
- Byline: Jeff Benjamin Despite heated debate about increased regulatory oversight of hedge funds, the $420 billion industry has yet to muster much of an argument against requiring its managers to register as investment advisers with the Securi Byline:...
- Research articles 2004-04-19
- SEC seen eyeing hedge fund 'side letters'; More than half of managers are thought to cut deals.(News)
- Byline: Jeff Benjamin DETROIT - The $1.2 trillion hedge fund industry's use of so-called side letter agreements has attracted the attention of the Securities and Exchange Commission. Observers estimate that at least half the more than...
- Research articles 2006-08-14
- SEC Reviewing Valuation Policies In Recent Inspections Of Hedge Fund Managers
- During the course of recent investment adviser inspections conducted by the Securities and Exchange Commission ("SEC"), managers of private investment funds have been queried on methods used to price illiquid positions in a fund's portfolio. Examiners hav During the course of recent investment adviser inspections...
- Research articles 2002-10-18
- Hedge fund industry braces for what's next; Some fear SEC will push for further regulation.(News)
- Byline: Jeff Benjamin KEY BISCAYNE, Fla. - Less than a week after a rule took effect that requires hedge fund managers to register as investment advisers with the Securities and Exchange Commission, the focus already has shifted toward what m ...
- Research articles 2006-02-13
- SEC Adopts Registration of Hedge Fund Advisers
- The Securities and Exchange Commission SEC has adopted its proposed rules that will require many hedge fund managers to register as investment advisers under the Investment Advisers Act of 1940 the Advisers Act. A hedge fund manager to a 'private fund' will now be required to ôlook-through" the fund and...
- White papers 2004-12-01
Additional Resources
- Hedge-fund manager charged.
- * Michael Higgins, a hedge-fund manager in San Francisco, has been charged with securities and wire fraud in a complaint filed in federal court by the Securities and Exchange Commission. Mr. Higgins allegedly lied about the performance of his Ballybunion capital Partners...
- Research articles 2000-05-15
- Former AMD CEO Caught in Hedge Fund Scandal
- Hector Ruiz, the soft spoken executive who rose to prominence as the chief executive officer of Advanced Micro Devices has been named by government prosecutors as a senior executive who gave inside information tin the Galleon hedge fund scandal, according to The Wall Street Journal. An unnamed source told the...
- News items 2009-10-27
- The CEO Hedge Fund Scourge
- For under-performing CEOs, hedge funds can be a frightful scourge that can force board changes resulting in their ouster. Yet, the perennial debate about hedge fund regulation is taking on a new urgency since some are being blamed for contributing mightily to the sub prime mess and credit squeeze. ...
- Blog posts 2008-04-16
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