SEC Inches Toward Risk-Based Margin Requirements

MacFadyen, Ken
November 2006
Investment Dealers' Digest;11/6/2006, Vol. 72 Issue 42, p6
Trade Publication
The article provides an overview of the concept of portfolio margining in global markets implemented by the U.S. Securities and Exchange Commission (SEC). Douglas Engman, CEO of FIMAT Preferred, ascertained its role in revolutionizing the options industry. This move by the SEC somehow encouraged large domestic hedge funds over its money investments.


Related Articles

  • SEC: Advisers Should Register, Face Compliance Reviews. Sanches, Humberto // Bond Buyer;9/30/2003, Vol. 345 Issue 31730, p5 

    Reports on the consideration of whether to regulate fund managers as investment advisers and to require them to register with the agency from U.S. Securities and Exchange Commission. Total amount of investment in hedge funds; Lack of regulatory tools to monitor the operations of hedge fund and...

  • US legal and regulatory developments Registration under the Investment Advisers Act of 1940 of certain hedge fund advisers. Cuillerier, Ian // Derivatives Use, Trading & Regulation;2005, Vol. 11 Issue 3, p279 

    Focuses on the registration under the Investment Advisers Act of 1940 of certain hedge fund advisers with the U.S. Securities and Exchange Commission. Reasons for adopting the rule; Exemption of the private adviser; Details of the financial reporting and the custody rule.

  • Hedging Regs. Kentouris, Chris // Securities Industry News;5/19/2003, Vol. 15 Issue 20, p1 

    Hedge fund investors and the Securities and Exchange Commission (SEC) governed a regulation of the 600 billion dollar industry at a two-day round table conference held at the regulator's Washington, D.C. headquarters with industry participants seeking to defend additional SEC oversight....

  • SEC Adopts New Rule and Rule Amendments Requiring Hedge Fund Advisers to Register Under the Investment Advisers Act of 1940. Meer, Cary J.; Michehl, David J.; Rosenblum, Robert H. // Venulex Legal Summaries;2004 Q4, p1 

    The article focuses on the new rule adopted by the U.S. Securities and Exchange Commission (SEC) requiring hedge fund advisers to register with the SEC as investment advisers under the Investment Advisers Act of 1940. The effectivity of the rule amendments will be in February 2006. According to...

  • Hedge Funds Must Comply Now! Hintze, John // Securities Industry News;Spring2005 Clearing Quarterly, Vol. 17, p20 

    Provides information on the policy requiring hedge fund managers to register with the U.S. Securities and Exchange Commission (SEC) starting February 2006. Sources of the problems faced by hedge funds, including asset valuations; Tools used by large and small hedge funds; Areas of concern that...

  • SEC Charges Side Pocket and Other Investment Adviser Abuses. Gruenstein, David; Levene, Ralph M.; Silk, David M.; Persaud, Amanda N. // Venulex Legal Summaries;2010 Q4, Special section p1 

    The article discussed highlights of the case of SEC v. Mannion et al involving the U.S. Securities and Exchange Commission (SEC) which filed fraud charges against hedge fund managers alleging various investment adviser abuses such as side pockets. It defines side pockets as arrangements through...

  • New Twists Emerge In Registration Saga. Lewis, Janet // Investment Dealers' Digest;11/21/2005, Vol. 71 Issue 44, p9 

    Reports on the regulations set by the U.S. Securities and Exchange Commissions (SEC) for the registration of hedge fund. Effort of hedge fund advisers to avoid registration with SEC; Exemption for the SEC registration; Deadline for the registration.

  • The Morning Brief: BlackRock, JPMorgan Chase could be early JOBS Act Winners.  // AR Magazine;Oct2012, Vol. 4 Issue 2, p5 

    This section offers news briefs relating to the hedge fund market as of October 2012, including alternative investment firms expected to benefit from advertising under the JOBS Act, Clinton Group claiming that Wet Seal reneged on a deal to give the former a majority control of the board and two...

  • Fimat Gets Go-Ahead to Expand Portfolio Margining Accounts. Hintze, John // Securities Industry News;11/13/2006, Vol. 18 Issue 39, p1 

    The article reports on Fimat Preferred's inclusion of additional financial instruments such as options and single-stock futures in its portfolio margining accounts in the U.S., as formally approved by the Securities and Exchange Commission (SEC) in July 2006. This means that Fimat will have to...


Read the Article


Sorry, but this item is not currently available from your library.

Try another library?
Sign out of this library

Other Topics