Updated Thursday, April 24, 2014 as of 10:29 PM ET
Alternative Mutual Funds to Get SEC Test for Leverage, Liquidity
(Bloomberg) -- Alternative mutual funds will be examined by the SEC to assess whether managers are complying with leverage and liquidity rules.
The SEC plans to test around 25 of the funds over the next several months, Jane Jarcho, national associate director of the investment company examination program at the agency, said in an interview.   more »
More in Alternative Investments
Interest in alternatives is rising among investors as they look to manage volatility in their portfolios - and advisor education is critical to meeting that tidal wave of demand. more »
Of the 296 funds that picked up Lipper U.S. Fund Awards this year, only nine were peer-group winners for all of the eligible time periods. See the list here. more »
As it turns out, larger and smaller RIA firms face similar compliance challenges. more »
Using recent research from the North American Securities Administrators Association, Harold Reimer -- head of private wealth management for Temenos in North America -- put together a list of advisory compliance best practices. more »
FINRA found that LPL didn’t have a reasonable system in place to determine whether purchases of alternatives would cause a customer’s account to be unsuitably concentrated. more »
IMCA and CAIA are teaming up to fill in a knowledge gap about alternative investments, offering a new online education program that teaches the basics to the uninitiated. more »
RCS Capital is following through on its promise to launch a research division with the hiring of two non-traded investments analysts. more »
Vanguard Group, the third- largest U.S. provider of exchange-traded funds, has asked regulators for permission to open actively-managed ETFs. more »
The focus on dual registrants grows out of concern that the different compensation structures of the two business lines can create conflicts of interest and potentially harm investors, according to an SEC director. more »
Firm's partners say they wanted 'control of our destiny -- we wanted to own our own equity.' more »
Investors may almost triple the amount of capital they put into hedge funds this year, boosting industry assets to a record, an annual survey by Deutsche Bank showed. more »
Stephen Mandel of Lone Pine Capital made hedge-fund investors the most money for the second straight year in 2013. more »
U.S. stocks advanced as investors assessed corporate earnings and data showing factory orders fell less than estimated in December. more »
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