Regulatory Alerts2022-10-28
Added · Updated
Stipulation and Agreement: Hudson Bay Capital Management LP
Hudson Bay Capital Management LP agrees to pay a $2,500 administrative fine to the State of Connecticut for transacting business as an investment adviser without filing the required notice of exemption. The settlement resolves an investigation into the firm's failure to comply with Section 36b-6(c)(1) and 36b-6(e) of the Connecticut Uniform Securities Act after moving its principal place of business to Greenwich, Connecticut. Hudson Bay also agrees to refrain from future violations of the Act and waives its right to judicial review of the agreement.
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