The Congressional Research Service described regulatory policy and financial stability concerns regarding hedge fund activities.
News & Insights
In an annual report, the SEC Division of Examinations identified current risks for investors and registrants and highlighted key areas for examination in 2024.
The United States District Court for the Western District of Wisconsin granted partial summary judgment, on the SEC's request, against a portfolio manager who allegedly lied to investors as to the manager's risk management practices.
In a risk alert for private fund advisers, the SEC Division of Examinations highlighted compliance issues found during the 2020 exam period.
In three separate notices, NFA reminded (i) futures commission merchants, forex dealers, and introducing brokers, (ii) CPOs and CTAs, and (iii) swap dealers on reporting requirements, and common deficiencies in regulatory compliance.