Alternative Investments News of the Week

Week 1: 6/12/16 - 6/18/16

SEC takes aim at Admins as "gatekeepers" for asset managers - cannot have "head in the sand"

The Disconnect Between Expected Rate of Return and Current Market Conditions

Week 2: 6/19/16 - 6/25/16

A controversial hedge fund is returning money to investors after an associate was arrested

Goldman Settles Mortgage Suit with Australian Hedge Fund

Hedge Fund Managers and Former Government Official Charged in $32 Million Insider Trading Scheme

Investors Warn Unicorns: Share Info Evenly or Get Sued

SEC Approves IEX Proposal to Launch National Exchange, Issues Interpretation on Automated Securities Prices

SEC: Private Equity Fund Adviser Acted As Unregistered Broker

Visium hedge fund manager turns himself in - Business Insider

Week 3: 7/11/16 - 7/17/16

Private Equity Fund Adviser Acted As Unregistered Broker

ValueAct hedge fund to pay record fine to DOJ

SEC Charges Unregistered Brokers with Pocketing Investor Money

Week 4: 7/18/16 - 7/24/16

SEC Proposes Rules to Enhance Order Handling Information Available to Investors

Betrayal, corruption, and manipulation:  2 traders have been charged with ‘front-running’

SCORECARD:   These hedge funds are killing it this year

Taking A Fresh Loot At The Chinese Venture Capital Market

Week 5: 7/25/16 - 7/31/16

Investment Fund Manager Sentenced to Fifteen Months in Federal Prison for Obstructing SEC Investigation

SEC Charges Father and Son and Their Investment Advisory Firms with Defrauding Hedge Fund Investors

Arrested HSBC Exec Was Once Head of Compliance at his Own Hedge Fund

SEC Halts Ongoing Fraudulent Stock Scheme

Week 6: 8/1/16 - 8/7/16

Executives worry about trade secrets’ vulnerability to cyber breaches

A hedge fund manager named his No. 1 short position, and it highlights why everyone is freaking out about Europe

Week 7: 8/8/16 - 8/14/16 

Amazon Japan raided on suspicion of antitrust practices:  Nikkei

One Of the World’s Biggest Hedge Funds Is Backing The Bank of England

SEC Charges Cardiologist With Insider Trading on Confidential Drug Trial Developments

Franklin Templeton sued over options in its 401(k) plan

Private Fund Administrator charged With Gatekeeper Failures

Barclay Agrees to Settle Libor-Rigging Inquiry for $100 Million


Week 8: 8/15/16 - 8/21/16

As Active Shooter Incidents Increase Industry Addresses Coverage “Gray Area”

SEC:  Investment Adviser Board Phony Assets and Track Record, Stole From Client

SEC Charges Stockbroker and Friend With Insider Trading

SEC halts trade in mysterious $35 billion OTC stock

Hedge Fund Manager Charged in Scheme Involving Terminally Ill

Former Goldman Sachs Trader Settles Fraud Charges

Steve Eisman’s Next Big Short Is Hedge Fund Fees

Alternative Asset Manager RueOne Investments Appoints Michael Caro Director of Partnerships

Week 9: 8/22/16 - 8/28/16

Banks Sprint to Meet $493 Trillion Swaps Market Margin Rules

Deutsche Bank Whistleblower Tells SEC To Take That $16.5 Million Award And Shove It Up Its Hintern

Prism Hedge Fund Insights:  The Value of Regulatory

The Quants Are Taking Over Wall Street

Former Apollo partner charged personal expenses to funds

Apollo Global Also Sorry It Once Employed An Exec Who Billed Investors $200K For His Own Amusement

SEC Charges 71 Municipal Issuers in Muni bond Disclosure Initiative

WL Ross settles with SEC, ABRY eyes 30 pct carry on debut small market fund


Week 10: 8/29/16 - 9/4/16

SEC Adopts Rules to Enhance Information Reported by Investment Advisers

Amid secondaries slowdown, LPs ask: why sell?,   Venture’s summer slowdown worst in 7 years

Purported Green Technology Company Defrauding Investors

Week 11: 9/5/16 - 9/11/16

SEC Charges CEO and Paid Promoter With Fraudulently Promoting Stock of Las Vegas Health Products Company

How the US failed to stop the country’s worst-ever cyberattack

A New Way for Non-US Investors to Access US Deal Flow

Week 12: 9/12/16 - 9/18/16

Two Large Investment Advisory Firms Charged With Compliance Failures in Wrap Fee Programs

BOK Financial, Senior Executive Charged With Turning Blind Eye to Investment Scheme

“Stock Trading Whiz Kid” to Pay $1.5 Million to Settle Stock Newsletter Fraud Charges

SEC Whistleblower Program Surpasses $100 Million in Awards


Week 13: 9/19/16 - 9/25/16

Two Large Firms Charged With Compliance Failures in Wrap Fee Programs

SEC Charges Hedge Fund Manager Leon Cooperman With Insider Trading

The world’s biggest hedge fund is worried the Federal Reserve could mess up everything

Week 14: 9/26/16 - 10/2/16

Investors Add $6.3B to Hedge Funds in August; Total Industry AUM $3.02T

Executives Charged With Microcap Fraud

Merrill Lynch Charged With Trading Controls Failures That Let to Mini -Flash Crashes

SEC Charges CEO and Boiler Room Operator With Fraud

Hedge Fund Legend Says the Industry Is Facing the Most Difficult Era Ever

Och- Ziff unit to plead guilty in U.S. Bribe probe: sources

UBS Financial Services Hit With $15-Million Penalty

Week 15: 10/3/16 - 10/9/16

Weatherford International To Pay $140-Million Penalty For Inflated Earnings

Investment Adviser Charged With Cherry-Picking and Misleading Clients

U.S. Supreme Court to Hear Key Insider Trading Case

UBS Hit With $15-Million Penalty After Being Charged With Supervisory Failures

Credit Suisse Paying $90 Million Penalty for Misrepresenting Performance Metric

Week 16: 10/10/16 - 10/16/16

SEC Proposes Rule Amendment to Expedite Process for Settling Securities Transactions

SEC Said to Demand That Cooperman Agree to Hedge Fund Suspension

Deutsche Bank Allegedly Failed to Properly Safeguard Research Information

Week 17: 10/17/16 - 10/23/16

Hedge Fund Firm and Supervisor Charged With Failing to Prevent Insider Trading

 First FCPA Case Against Hedge Fund

 Company to Pay Penalty for Stock Picking Game That Was An Unregistered Swap

 Artis Capital Management Settles SEC Allegations Related to Insider Trading Case

SEC Charges Energy Services Company and Executives With Fraud

 Cyber Liability Insurance:  Maybe not for Fred Flinstone, but for everyone else?

 Ernst & Young to Pay $11.8 Million for Audit Failures

 SEC Adopts Rules to Modernize Information Reported by Funds, Require Liquidity Risk Management

Programs, and Permit Swing Pricing

Week 18: 10/24/16 - 10/30/16

Embraer Paying $205 Million to Settle FCPA Charges

 Ernst & Young to Pay $11.8 Million for Audit Failures

 Highland Capital Investors Allege Wrongdoing in Long-Closed Hedge Funds

 Lynn Tilton Heads to trial against SEC over alleged fraud

Week 19: 10/31/16 - 11/6/16

Firm and Partner Charged With Issuing Fraudulent Audit Reports

 Ex-BlackRock manager pleads guilty to insider trading

 Company Co-Founder Charged in Manipulation Scheme Other Co-Founder Agrees to $8 Million Settlement of Separate Charges

Week 20: 11/7/16 - 11/13/16

Firm and Partner Charged With Issuing Fraudulent Audit Reports

 Chelsea’s husband allegedly used foundation ties to boost hedge fund

 Movie Producer Charged With Defrauding Hedge Fund Investors

 SEC:  Investment Adviser Fraudulently Overbilled Clients, Stole Assets for Personal Expenses

Week 21: 11/21/16 - 11/27/16

Firm charged With Misleading Investors About Binary Options Profitability

SEC Chair Mary Jo White Announces Departure Plans

EX-Wall Street big convicted of insider trading sued by brother

JPMorgan Chase Paying $264 Million to Settle FCPA Charges        

Week 22: 1/9/17- 1/15/17

SEC Charges Two Brokers With Defrauding Customers

 Investment Adviser, Lawyer Settle Charges in Secret Referral Fee Scheme

 Amazon quietly purchased a cybersecurity firm – here’s 3 ways Amazon could use the technology

 2016 Was A Pivotal Year For Hedge Funds – For Better… Or Worse

Week 23: 1/16/17- 1/22/17
SEC Charges Government Contractor With Inadequate Controls and Books and Records Violations

 Financier and fundraiser Scaramucci expected to become Trump adviser

The CEO of a $3.9 Trillion fund giant has a message for money managers everywhere

BNY Mellon Settles Charges Stemming From Miscalculations of Regulatory Capital Figures

ITG Paying $24 Million for Improper Handling of ADRs

Morgan Stanley Paying $13 Million Penalty for Overbilling Clients and Violating Custody Rule

10 Firms Violated Pay-to-Play Rule By Accepting Pension Fund Fees Following Campaign Contributions

Allergan Paying $15 Million Penalty for Disclosure Failures During Merger Talks

Week 24: 1/23/17- 1/29/17

BlackRock Charges With Removing Whistleblower Incentives in Separation Agreements

SEC Establishes Supervisory Cooperation Arrangement With Hong Kong SFC

China Gives “Hedge Fund Brother No. 1” 51/2 Years in Prison

Trump Concerns Have Hedge Fund Investor Looking to China

MF Global’s Corzine to Pay U.S. Regulator $5 Million Over Firm’s Collapse

Week 25: 1/30/17- 2/5/17

Morgan Stanley, Citigroup Charged With Misleading Investors About Forex Trading Program

Citigroup Paying $18 Million for Overbilling Clients

V&E discussed activism trends in Agenda article “Shareholder Activism Forecast 2017”

Week 26: 2/6/17 -2/12/17

Silicon Valley Hedge Fund Takes On Wall Street With Al Trader

A secretive hedge fund firm that has legendary status on Wall Street is attracting new money

Industrial Overtakes Multifamily as Foreign Investors’ Most Preferred Asset Type

Private Equity Adviser Barred From Industry for Improper Withdrawal From Funds

Week 27: 2/13/17 - 2/19/17

Calpers Gave Up $900 Million Since Lowering Allocation

Chinese Citizen Holding $29-Million Charged with Alleged Insider Trading

Premium Point Investments Said To Be Target of SEC Probe

Morgan Stanley Settles Charges Related to EFT Investments

Week 28: 2/20/17 - 2/26/17

SEC Charges Company and Officers With Defrauding Investors

Advisor M&A Growth Is “Subplot of a Bigger Story,” Says Schwab Beatty

BD Back-Office Consolidation:  Profit Bonanza or Service Boondoggle?

Week 29: 2/27/17 - 3/5/17

SEC Issues No-Action Letter on Advisors’ “Imputed Custody”

Brokerage Firm Paying Penalty for Compliance and Trading Surveillance Failures

Emerging market hedge fund assets hit record $200 bln-report

OMB Finishes Review of Fiduciary Rule Delay Request

Does 2017 Mark The Return Of Active Equity?

Venture Investment Associates Closes Funds Totaling over $230M

DOL Proposes 60-Day Fiduciary Rule Delay

First Ascent:  A Glimpse Into the Future of Advisor Portfolio Management

Week 30: 3/6/17 - 3/12/17

Private Equity Adviser Barred From Industry for Improper Withdrawal From Funds

SEC Probe Insider Trading In Softbank-Fortress Deal, Freezes Assets

Hedge Fund Titans Face What’s Next as They Pass Certain Age

Finra bars broker-dealer owner for false testimony, fabricated documents

Why OPEC Is Colluding With Hedge Funds

Hedge Fund Performance – The ‘Sharpe Clarity’

SEC Charges Company and Executives With Touring Bogus Revenues

FINRA Floats Plan to Streamline Competency Exams

Week 31: 3/13/17 - 3/19/17

Executives Charged With Manipulating Company’s Accounting Systems to Steal Money

Auditor Charged With Insider Trading on Client’s Nonpublic Information

Active Managers’ Struggle to Maintain Assets

Liquid Alts Trailed Hedge Funds in February

Week 32: 3/20/17 - 3/26/17

How Trump Presidency Is Boosting Demand for Impact Investing, ESG Funds

Rise of Non-Equity Funds Is Hedge Fund “Story of 2016”:  Seward & Kissel

SEC Charges Firm Involved in Layering, Manipulation Schemes

Auditor Charged With Insider Trading on Client’s Nonpublic Information

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