SEC Reviews Bond Trades by Hedge Funds, Devaney’s Firm

Hedge fund firms typically task internal committees with valuing thinly traded bonds, a process that prevents conflicted portfolio managers from.

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SPE currently trades at a 12% discount to NAV, on top of the existing discount of the underlying securities. it has performed better than many of the hedge fund indices over the past seven years..

The payment to the tax-exempt bond. fund. But Chase did not have the systems or controls designed to ensure that the trade restrictions would be enforced, the regulator said. Further, the firm.

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The Securities and Exchange Commission today announced the hedge fund advisory firm Visium Asset Management LP has agreed to settle charges related to asset mismarking and insider trading by its privately managed hedge funds and portfolio managers.

Hedge fund firm Deer Park Road Management has agreed to pay the Securities and Exchange Commission $5 million for "compliance failures" related to its asset-valuation policies, the regulator announced tuesday. The firm’s chief investment officer Scott Burg will also pay a $250,000 penalty to settle the matter.

(Bloomberg) — U.S. securities regulators are reviewing a series of trades involving hedge funds and a Florida mortgage-bond dealer to see if they may have inflated prices for illiquid securities,

The hedge fund, Myriad Asset Management, was expected to start trading with. and convertible bond strategies. Many clients who earlier invested in Huttenlocher’s fund will return to Myriad, sources.

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The Securities and Exchange Commission is getting ready to revisit a 2008 rule proposal about exchange-traded funds. In the wake of new issues that have cropped up since then, changes to the original proposal are likely. Speaking at the Investment Company Institute’s Mutual Fund and Investment Management Conference this week, SEC’s Division of Investment Management.

A top SEC attorney might not bolt to some white-shoe law firm to defend Wall Street bad guys if that attorney were offered a competitive government raise. Maybe the commission has that guy review..

CFTC Brings First “Spoofing” Case Against High-Frequency Trading Firm;. The issuance of the concept release is part of an ongoing review by the SEC of funds’ use of derivatives under the Investment Company Act.. On May 5, 2009, the SEC charged a bond salesman and a hedge fund manager with insider trading involving credit default.