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News August 5, 2019 Issue

SEC and CFTC Settle Mispricing Charges with Hedge Fund Portfolio Manager

Regulators take improper valuation and mispricing seriously, particularly when the party accused of doing so also allegedly tried to hide his actions. An advisory firm and commodity pool operator portfolio manager found this out the hard way after reaching settlements with both the SEC and the CFTC that together left him almost $850,000 poorer and barred from both the securities industry and futures trading for at least three years.

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