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