Operational Due Diligence

November 21, 2008

Hedge fund chiefs blame the system for crisis

Filed under: Articles, News Stories — Buckeye @ 12:15 pm

Borrowed from the Financial TImes:

Hedge fund chiefs blame the system for crisis

Thursday Nov 13 2008 15:55

Top hedge fund managers on Thursday defended themselves against charges they had contributed to the economic crisis and warned that excessive regulation would “stifle the best innovative qualities” of the financial markets.

In sworn testimony, five of the highest paid and most powerful hedge fund managers, including George Soros, blamed the crisis on the “financial system itself” as they sought to explain their compensation policies to a committee of sceptical legislators.

James Simons, president of Renaissance Technologies, said credit ratings agencies had facilitated the sale of “sows’ ears as silk purses” because of their “fanciful” ratings of the mortgage-backed securities that lie at the heart of the meltdown.

Accepting that more robust oversight of their industry was inevitable, they also voiced support for some greater reporting requirements.

The hearing before the House oversight committee was the latest in a series of hearings to examine the causes of the financial collapse. Earlier examinations of AIG and Lehman Brothers, the failed insurer and investment bank included harsh questioning of executives who failed to oversee the coming financial tsunami even as they raked in millions of dollars in compensation.

Henry Waxman, the California congressman who chairs the House oversight committee, which is hosting a series of meetings to examine the causes of the financial collapse, said hedge funds’ rapid growth and high leverage were factors that had caused other companies to blow up. Mr Waxman stopped short of blaming the funds - or their trading practices - for contributing directly to the crisis. But he signalled concern over “special tax breaks” that allow managers to treat the vast majority of their earnings as capital gains, meaning some portions are taxed at a rate as low as 15 per cent.

“That’s a lower tax rate than many schoolteachers, firefighters or even plumbers pay,” Mr Waxman said.

Justifying his own pay package, Philip Falcone, co-founder of Harbinger Capital, pointed to his modest upbringing in Minnesota, where, he said, his father never earned more than $14,000 a year.

“It is important for the committee and the public to know that not everyone who runs a hedge fund was born on 5th Avenue - that is the beauty of America,” he said. He added: “This is not a case where management takes huge bonuses or stock options while the company is failing.”

John Paulson, of Paulson & Co, whose bearish views on the mortgage bubble made him the most highly paid fund manager last year, according to some calculations, said his pay reflected returns to investors.

Congressman Tom Davis of Virginia said that it was time to consider “greater standardisation, registration, disclosure and regulatory limitations” for the industry.

Kenneth Griffin, the founder and chief executive of Citadel, did not believe greater regulation was required, and said the greatest failures had occurred in regulated institutions. “We have not seen hedge funds as a focal point of carnage,” he added.

November 14, 2008

10/11/2008 No Discipline For SEC Officials In Pequot Probe

Filed under: Articles, News Stories — Buckeye @ 11:58 am

10/11/2008 No Discipline For SEC Officials In Pequot Probe
From FINalternatives

FINalternatives reports: Three high-ranking Securities and Exchange Commission officials will not be disciplined for lapses in the agency’s investigation of insider trading at Pequot Capital Management.

The SEC’s chief administrative law judge, Brenda Murray, declined to order punishment for Linda Thomsen, director of enforcement, and two others in the case of Gary Aguirre, a former SEC lawyer who claimed he was fired for seeking to question John Mack, the one-time Pequot chairman who now leads Morgan Stanley. In a report issued last month, H. David Kotz, the SEC’s inspector general, blasted the SEC’s probe of Pequot, saying he found evidence that “raised serious questions about the impartiality and fairness” of the investigation, and that the agency had allowed “inappropriate reasons to factor into its decision to terminate” Aguirre in 2005.

Powered by WordPress