Federal Regulation
Get the latest news and insights on regulatory developments affecting financial advisors and the stock market and trading, including news about the SEC, DOL, IRS and the Financial Industry Regulatory Authority.
SEC Bars Hedge Fund Manager
By Staff WriterBOSTON (HedgeWorld.com)--In what amounts to a bit of housekeeping and not much else, the Securities and Exchange Commission has barred a hedge fund manager accused of insider trading from associating with any investment adviser. Michael K. C. Tom, who ran Global Time Capital Management LLC, used inside information about a...
March 06, 2006
Lawsuits Against Georgia Hedge Fund Piling UpATLANTA (HedgeWorld.com)--A potential hedge fund blowup is bubbling over in the former homeland of the boll weevil. A Georgia hedge fund management firm, International Management Associates LLC, and a related entity, International Management Associates Advisory Group LLP, have seemingly dissolved overnight. Some $150 million in investor assets is thus far...
March 05, 2006
Action Unlikely This Year On Bills Modernizing Insurance RegulationLegislation modernizing the insurance regulatory system will be introduced this spring in both the House and Senate, but the likelihood of passage this year is ...
March 05, 2006
Action Unlikely This Year On Bills Modernizing Insurance RegulationLegislation modernizing the insurance regulatory system will be introduced this spring in both the House and Senate, but the likelihood of passage this year is ...
March 03, 2006
SEC: MetLife Still A Well-Known IssuerThe U.S. Securities and Exchange Commission says a financial services giant can continue to have easy access to the U.S. capital markets.Mary Kosterlitz, an official ...
March 02, 2006
SEC: MetLife Still A Well-Known IssuerThe U.S. Securities and Exchange Commission says a financial services giant can continue to have easy access to the U.S. capital markets.Mary Kosterlitz, an official ...
March 01, 2006
Financial Regulatory Bills In PipelineLegislation proposing an overhaul of the federal financial regulatory system is about to surface in both the House and the Senate.But participants in an Insurance ...