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SEC

November 5, 2013

US hedge fund SAC Capital has reached an agreement to plead guilty to criminal insider trading charges, in a move that will likely end the trading career of its founder Steve Cohen and potentially see the fund transformed into a family office.

US hedge fund SAC Capital has reached an agreement to plead guilty to criminal insider trading charges, in a move that will likely end the trading career of its founder Steve Cohen and potentially see the fund transformed into a family office.

Prosecutors announced on Monday that the firm, headquartered in Connecticut, faced $1.2 billion in fines for the charges, in addition to a $616 million settlement with the US Securities and Exchange Commission (SEC).

November 10, 2011

Family offices and hedge funds don’t have an awful lot in common, except that they both tend to be small outfits. But these days small no longer means irrelevant and most people agree that hedge funds, however many they employ, ought to be regulated. 

Family offices and hedge funds don’t have an awful lot in common, except that they both tend to be small outfits. That has meant that both of them have, until now, tended to fall outside the clutches of the Securities and Exchange Commission, the American financial regulator.

But these days small no longer means irrelevant and most people agree that hedge funds, however many they employ, ought to be regulated.

September 28, 2011

The US's Securities and Exchange Commission has commenced cease-and-desist proceedings against an investment adviser, alleging it misrepresented its assets under management. 

The Securities and Exchange Commission has commenced cease-and-desist proceedings against an investment advisor, alleging it misrepresented its assets under management.

Read the full story at CampdenFO.
 

June 1, 2003

Family businesses can learn from larger public corporations and adapt the new governance trend of independence to suit their own business needs

Luanna McGowan is the Canadian National Partner of PricewaterhouseCoopers' Centre for Entrepreneurs and Family Business. She is a lawyer and facilitator and has worked with entrepreneurs and family businesses from several industry sectors to develop succession and strategic plans.

Family businesses can learn from larger public corporations and adapt the new governance trend of independence to suit their own business needs

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