Dodd-Frank

SEC fines 13 private fund advisers for filing infractions

Seven hedge funds charged with repeatedly failing to file Form PF


NYS Common Retirement Fund trustee slams Dodd-Frank rollbacks

Thomas DiNapoli warns that scaling back regulations is misguided

SEC metes out its largest-ever whistleblower awards

Commission pays tipster $33m bounty for tip that leads to successful enforcement action



US Supreme Court ruling could drive more SEC whistleblower complaints

Court decision means SEC reporting is required for Dodd-Frank anti-retaliation protection


Supreme Court case could narrow whistleblower protections

The court will hear argument on the scope of Dodd-Frank anti-retaliation provisions


Key GOP Dodd-Frank critic to leave Congress

GOP stalwart Jeb Hensarling to step down next year


US Treasury aims to end SEC and CFTC dual registration

Volcker rule, SEC derivatives rule and dual registrations in the crosshairs


MFA seeks return of CFTC reg exemption

Many hedge funds had to register with derivatives regulator as a result of post-financial crisis rule changes


CFTC appoints employment lawyer as GC

Daniel Davis joins regulator from Proskauer Rose


SEC raises liquidity concerns over open-ended fund conversions

Regulator uses its SEC Speaks conference to set out priorities for the year ahead


European law firms target SEC whistleblower rewards

‘Whistleblower alliance’ to help non-US employees bring enforcement action to the SEC


Donald Trump to impose five-year lobbying ban on govt staff

Executive order could impact hedge funds hiring SEC, CFTC and Treasury officials


Office of Financial Research calls for Form PF additions

Forcing VaR reporting and position-level data will give regulators a better risk outlook, says OFR




CFTC and Korea agree to cross-border supervision of clearers

Regulators sign Memorandum of Understanding on Friday


DDQ: Dodd-Frank reporting obligations

US and non-US industry participants hit by rules


CFTC/NFA issue report relief to certain CTAs

Form PR filing exemptions covers those not directing client commodity interest accounts


SEC commissioner: Should we regulate alt mutual funds differently?

An SEC commissioner has questioned whether liquid alternatives should be regulated in a different way to other mutual funds and


NFA CEO identifies cyber-security as “important” focus

Cyber-security has been an “important focus all year” for the National Futures Association, the overseer of hedge fund and CTA