Thierry de la Villehuchet Rollup
The big news today is that Thierrie de la Villehuchet, co-founder of Access International Advisors, and former Chairman and CEO Credit Lyonnais Securities USA was found dead in his Madison Avenue...
View ArticleMadoff & Credit Suisse – how did a major bank lose $925.9 mln?
The Times broke a story which based on “Internal forecasts” the reported losses of investments made into Madoff funds by Credit Suisse clients could reach $925 million. This follows the admission that...
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Differences Between Capital Introduction and Third Party Marketing
If you ask ten different hedge fund professionals to explain the difference between third party marketing and capital introduction, you are bound to get ten different answers. Though often confused,...
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SEC’s First High Frequency Trading Manipulation Case
October 16, 2014 Dear Friends, Today, the SEC sanctioned a high frequency trading firm with fraudulent trading to manipulate closing prices, resulting in a $1 million penalty and marking the SEC’s...
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SEC Charges HF With Taking Unearned Management Fees
September 8, 2015 Dear Friends, A Seattle based hedge fund agreed to pay disgorgement of over $800,000, after being charged by the SEC with fraudulently inflating the value of its investments, in...
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Supreme Court Denies Request to Hear Newman Case
October 5, 2015 Dear Friends, Today, the U.S. Supreme Court officially refused to hear the United States v. Newman insider trading decision. By way of background: In December 2012, Todd Newman and...
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SEC Enforcement Results for FY 2015
October 22, 2015 Dear Friends, Today the SEC released a summary of its enforcement actions for fiscal year 2015, touting the increase in total actions, from 676 in 2013, to 807 actions in 2015 and...
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CFTC Settles Insider Trading Case
Dear Friends, For the first time, the CFTC settled an insider trading case pursuant to CFTC Regulation 180.1 (“Rule 180.1”), promulgated under The Dodd Frank Act, resulting in a lifetime trading ban...
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This Will Save You From Incurring Losses Caused by Cybersecurity Risks and...
David Scheckel, CEO of Oxford BioChronometrics by David Drake William Scheckel, CMO of Oxford BioChronometrics There is on the average $11.7 million losses annually in organizations due to...
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