State of Connecticut Department of Banking

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The Department of Banking News Bulletin

Bulletin # 3007 - Week Ending October 8, 2021

This Bulletin constitutes the only official notification you will receive from this office concerning any of the following applications.  Any observations you may have are solicited.  Any comments should be directed to Jorge L. Perez, Banking Commissioner.  Written comments will be considered only if they are received within ten business days from the date of this bulletin.

SECURITIES AND BUSINESS INVESTMENTS DIVISION ACTIVITY

Monomoy Capital Management, L.P. (CRD No. 160759)

On October 7, 2021, the Banking Commissioner entered into a Stipulation and Agreement (No. ST-21-202041-S) with Monomoy Capital Management, L.P., an investment adviser having its principal office at 1 Greenwich Office Park, Building 1S, 2nd Floor, Greenwich, Connecticut 06831. The firm is registered as an investment adviser with the federal Securities and Exchange Commission. The Stipulation and Agreement alleged that, between October 2017 and November 29, 2020, the firm failed to make the notice filing required of SEC-registered investment advisers by Section 36b-6(e) of the Connecticut Uniform Securities Act. The firm has since made a curative filing. 

In resolution of the matter, the firm agreed to refrain from regulatory violations and to remit $3,025 to the agency. Of that amount, $2,500 constituted an administrative fine and $525 represented reimbursement for past due notice filing fees.

Dated:  Tuesday, October 12, 2021


Jorge L. Perez
Banking Commissioner