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By Melanie Waddell, AdvisorOne |
December 18, 2012
Bruce Karpati, head of the SEC’s Asset Management Unit, housed within the agency’s Enforcement Division, told compliance officers that overseeing hedge funds’ compliance will continue to be a priority for the agency next year.
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By Melanie Waddell, AdvisorOne |
October 3, 2012
The SEC charged one manager with stealing more than $500,000 from a retired schoolteacher who thought she was investing her retirement savings in a hedge fund.