6/28/2010
Insider trading remains as hot as the summer sun, with regulator's standing watch like an earnest lifeguard. Your best protection is to issue disclosures, note when you have and even encourage some companies to publicly release information whose origin is questionable. These are among the best pract ...
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06/23/2010
This is an article written by attorney Andrew Vollmer on steps hedge fund advisers can take to reduce the risk of insider trading. This article was originally published in Journal of Securities Law, Regulation & Compliance, Volume Three Number Two. For details of the journal please visit http://www.henrystewart.com/jsc.aspx.
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5/24/2010
Hedge fund managers may be watching their e-mail boxes with trepidation this week as the Financial Crisis Inquiry Commission sends a survey seeking confidential data, such as their shorting activity involving Bear Stearns, Lehman Brothers and Merrill Lynch.IA Watch has obtained a 13-page draft versi ...
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05/20/2010
This is a copy of a proposed e-mail survey to hedge funds by the Financial Crisis Inquiry Commission in April 2010. This is part of the FCIC's efforts to uncover the causes of the 2008–09 financial meltdown.
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3/15/2010
Ken Willey may have "lived in a primitive wood cabin in a remote valley on the eastern edge" of a national forest 70 miles east of Seattle but somehow the math-inclined hermit managed to persuade 274 investors to fork over $17.5 million. He sold them with claims that his "complexity theory" could tu ...
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11/10/2009
Financial regulatory reform legislation proposed by Sen. Chris Dodd (D-Conn.) in November 2009. It includes provisions affecting investment advisers, hedge fund advisers and the SEC, among others.
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10/29/2009
H.R. 3818, known as the legislation that would require the registration under the Advisers Act of hedge fund advisers. It passed the House Financial Services Committee in Oct. 2009.
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10/12/2009
When people point to the first sign of the trouble that led to the market meltdown they may cite the collapse of two Bear Stearns' hedge funds stuffed with poisonous sub-prime investments. This week jury selection starts in the criminal trial in New York of the two hedge fund managers, Ralph Cioffi ...
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09/16/2009
Continuing the trend toward greater international cooperation on financial regulation, the SEC and the UK’s Financial Services Authority have agreed to identify “a common, coherent set of data” to collect from hedge fund advisers as a means to identify risks to the system. The SEC has announced the ...
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08/28/2009
The Hedge Fund Study Act, HR713.
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