Sec swapnil rege final order
Web7 Aug 2024 · In yet another case regarding manipulation of valuation processes, the SEC barred Swapnil Rege from working in the securities industry for three years for willfully … Web17 Mar 2024 · The valuation practices of fund managers remain in regulators’ crosshairs. In a recently settled enforcement action, the SEC and CFTC took aim at a portfolio manager for an unnamed hedge fund adviser, alleging that he used different valuation model inputs for similar assets in order to generate paper profits for one of the adviser’s private funds – …
Sec swapnil rege final order
Did you know?
Web19 Jul 2024 · The Commodity Futures Trading Commission (CFTC) has issued an Order filing and settling charges against Swapnil Rege, a former portfolio manager for a … WebSEC Charges Portfolio Manager with Mispricing Fund Investments Washington, D.C.--(Newsfile Corp. - July 18, 2024) - The Securities and Exchange Com. Sunday, 04 September 2024 10:14 GMT.
Web19 Sep 2024 · Swapnil Rege. Financial Trader September 19, 2024. Swapnil Rege came to the United States with his education in electrical engineering and a focused intent on a career set in the information technology industry. It was a secure career path for his future. He was hired as a computer consultant and spent some time in the industry. Web1. When you have opened the case, you will see that the end state is ‘Awaiting final order’ or ‘Awaiting joint final order’. Select ‘Apply for final order’ from the next step menu ...
Web28 May 2016 · Swapnil Rege is a Certified Health Executive with a MBA from the Schulich School of Business. He currently works as a Chief Operating Officer with a non-profit healthcare organization. Swapnil has a strong background in creating operational excellence and building effective teams that work towards a common vision of enhancing client … Web28 Oct 2024 · The US Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) have separately moved against New Jersey-based …
Web22 Feb 2024 · Acquisition of know-how related to SCAMP-5 and SCAMP-7 vision sensing technology: notices of final order and variation of final order. 20 July 2024. Decision. …
Web2 Sep 2024 · SEC obtains final judgments against SwapStar Capital, Swapnil Rege Maria Nikolova featured , SEC , SwapStar Capital 0 Comments August 25, 2024 The judgments … rt specialty myron stevesWeb25 Aug 2024 · A former trader at shuttered hedge fund Marinus Capital Advisors faces a $5.5 million payment as part of a settlement with the SEC over allegations of swindling investors despite being barred from the industry. judgment announced Thursday by the Securities and Exchange Commission. Rege must pay an additional penalty of $207,183. … rt specialty linesWebThe Securities and Exchange Commission today announced settled administrative proceedings against Swapnil Rege, a North Brunswick, New Jersey portfolio manager and trader, for mispricing private fund investments, resulting in a large personal bonus. ... Without admitting or denying the findings in the SEC's order, Rege agreed to a cease-and ... rt specialty naic codeWeb27 Oct 2024 · The complaint alleges that Rege engaged in the alleged misconduct even after the SEC had barred him, in a 2024 SEC order, from associating with an investment adviser … rt specialty orlandoWebwww.cftc.gov rt specialty phoenix azWeb18 Jul 2024 · Washington D.C., July 18, 2024 —. The Securities and Exchange Commission today announced settled administrative proceedings against Swapnil Rege, a North … rt specialty parent companyWebSwapnil J. Rege et al. , No. 21-cv-19313 (D.N.J. filed Oct. 26, 2024) The Securities and Exchange Commission announced today the entry of final judgments against Swapnil J. Rege and his company SwapStar Capital, LLC for engaging in a scheme to misappropriate assets from clients they advised. rt specialty richmond