Lessons Learned: Regulatory Cases Against Investment Managers

Investors should cross-check initial explanations offered by investment managers through independent data samples, reveals SwissAnalytics analysis.

SwissAnalytics in its recent white paper titled ‘Regulatory cases against Investment Managers – Lessons Learnt for Investors’ highlights different basic techniques which would have helped investors to raise questions regarding their investment managers.

Category of regulatory cases

SwissAnalytics analyzed 24 regulatory cases spanning between 2000 and 2012 involving damages between USD $20 million and USD $50 billion. Broadly, it categorized the regulatory cases into three segments viz.: pure Ponzi schemes, embezzlement cases and valuation manipulations.

Ponzi schemes relate...