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Open Categories Menu Firm Fails to Institute Procedure for Bunched Orders (www.hedgefundlawblog.com) The fines can be hefty for breaking CFTC regulations or NFA rules. We have seen a large number of actions both with the SEC and the CFTC as well as with the NFA. Below is another example of a group who [...]
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Posts Tagged ‘ hedge fund books and records ’
31 March
Posted in
News and Commentary, Regulatory Actions
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CFTC Fines BD/FCM For Books and Records Violations
4 February
Posted in
Investment Advisor, new hedge fund regulations
Hedge Fund Books and Records Requirement
Hedge Fund Regulation May Include Rule 204-2 As we have discussed, hedge fund regulation legislation has been introduced as the Hedge Fund Transparency Act. This legislation calls for hedge funds to maintain such books and records that the SEC would require. It is likely that the books and records required [...]
