The Securities Litigation Expert Blog

SEC Announces Over 1,500 Private Fund Advisors Register as Investment Advisors

Posted by Jack Duval

Oct 20, 2012 3:47:35 AM

As a result of the Dodd-Frank legislation, hedge fund, private equity fund and other fund managers are having to register as Investment Advisors with the SEC.  This is a significant development as trillions of assets are now coming under the aegis (and scrutiny) of the SEC.  We will have more commentary on this later, but here are some initial links for your review:

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Topics: RIA, Dodd-Frank, Investment Advisors, Investment Advisor, SEC, Compliance, private equity fund, regulation., hedge fund

School for Quants at University College London

Posted by Jack Duval

Mar 9, 2012 5:16:07 AM

The Financial Times has an interesting article on a PhD program at UCL that essentially is a mashup of advanced math, programming, big data, and finance.

Most crazy fact:  there is hedge fund that trades exclusively off of social data.

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Topics: UCL, big data, PhD, Data Analysis, quants, finance, hedge fund

SEC Using Data Analysis to go After Fund Fraud

Posted by Jack Duval

Dec 27, 2011 5:20:23 AM

The WSJ reports the SEC is using data analysis of fund returns to pick out outliers for investigation.  Four fraud claims have been brought so far.  Initial reviews are of hedge funds, private equity funds, and mutual funds.

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Topics: Data Analysis, litigation, returns, mutual fund, SEC, private equity, hedge fund

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