US Legal & Regulation

Headstart Advisers, an FSA-regulated hedge fund adviser, and Najy Nasser, its chief investment officer, have settled their dispute with the US Securities and Exchange Commission relatin »

The Financial Industry Regulatory Authority has fined Wachovia Securities USD1.4m for its failure to deliver prospectuses and product descriptions to customers who purchased various inv »

The Committee on Capital Markets Regulation, an independent research organisation dedicated to improving the regulation of US capital markets, has released a set of recommendations made »

The US Commodity Futures Trading Commission has charged SNC Asset Management, SNC Investments, chief executive officer Peter Son, and chief financial officer Jin K. »

The Commodity Futures Trading Commission (CFTC) is seeking public comment on proposals to change its regulations regarding customer funds deposited »

Managing Partners, a boutique fund manager, has welcomed legislation in Washington State that requires life insurance companies to inform policyholders that they have the option of sell »

The Securities and Exchange Commission has proposed rule amendments that aim to substantially increase protections for investors who entrust their money to investment advisers. »