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1 May 2017, 2:13 pm
CourseArc, a cloud-based online content creation platform, announced Monday it has secured a $200,000 loan through Maryland’s VOLT Fund. [read post]
6 Aug 2013, 9:26 am
July 24, 2013), the First Circuit held that a private equity fund could be liable for its bankrupt portfolio company’s withdrawal liability imposed under Title IV of the Employee Retirement Income Security Act of 1974, as amended (“ERISA”) on the basis of the private equity fund constituting a “trade or business” under ERISA’s controlled group rules. [read post]
1 May 2022, 10:00 pm
After the US Securities and Exchange Commission spent several years focused on “Main Street” retail misconduct that left private funds largely out of the its crosshairs, Chairman Gary Gensler and the Divisions of Enforcement and Examinations are intent on shifting that focus in a way certain to affect hedge and private equity fund managers. [read post]
1 May 2022, 10:00 pm
After the US Securities and Exchange Commission spent several years focused on “Main Street” retail misconduct that left private funds largely out of the its crosshairs, Chairman Gary Gensler and the Divisions of Enforcement and Examinations are intent on shifting that focus in a way certain to affect hedge and private equity fund managers. [read post]
1 May 2022, 10:00 pm
After the US Securities and Exchange Commission spent several years focused on “Main Street” retail misconduct that left private funds largely out of the its crosshairs, Chairman Gary Gensler and the Divisions of Enforcement and Examinations are intent on shifting that focus in a way certain to affect hedge and private equity fund managers. [read post]
1 May 2022, 10:00 pm
After the US Securities and Exchange Commission spent several years focused on “Main Street” retail misconduct that left private funds largely out of the its crosshairs, Chairman Gary Gensler and the Divisions of Enforcement and Examinations are intent on shifting that focus in a way certain to affect hedge and private equity fund managers. [read post]
1 May 2022, 10:00 pm
After the US Securities and Exchange Commission spent several years focused on “Main Street” retail misconduct that left private funds largely out of the its crosshairs, Chairman Gary Gensler and the Divisions of Enforcement and Examinations are intent on shifting that focus in a way certain to affect hedge and private equity fund managers. [read post]
1 May 2022, 10:00 pm
After the US Securities and Exchange Commission spent several years focused on “Main Street” retail misconduct that left private funds largely out of the its crosshairs, Chairman Gary Gensler and the Divisions of Enforcement and Examinations are intent on shifting that focus in a way certain to affect hedge and private equity fund managers. [read post]
5 Jul 2019, 5:03 am
Recently, the organization came out in favor of a proposal by the securities industry self-regulator, FINRA, to force registered brokerage firms to contribute to an investor compensation fund. [read post]
5 Dec 2022, 5:13 am
They apply this whether their fund has invested in the securities of a limited partnership, a limited liability company or a corporation. [read post]
9 Nov 2017, 7:00 am
A funding portal is allowed to help companies facilitate trades of the securities distributed under the start-up prospectus exemption without having to register as a dealer, except in Alberta where such exemption for funding portals in not available. [read post]
4 Jan 2013, 5:58 am
Private equity funds (PE funds) and their advisors long have been concerned that a fund (or its other portfolio companies) may be liable for unfunded pension plan liabilities of one of its portfolio companies. [read post]
9 Dec 2013, 6:33 am
Together, these fund families manage around $3.3 trillion in U.S. securities, according to Morningstar® fund data, and control a large portion of the shareholder vote in US securities. [read post]
7 Jul 2022, 1:49 am
The securities complaint alleged that the company’s share price declined over 6 percent on this news. [read post]
21 Apr 2012, 5:00 am
Nine Cayman Islands hedge funds (the “Funds” or “Plaintiffs”) alleged fraud under §10(b) of the Securities Exchange Act, 15 U.S.C. [read post]
4 Dec 2017, 9:30 pm
Woodbridge 3 is one of a number of mortgage funds offered by the Woodbridge Group of Companies, LLC (“Woodbridge”), the successor firm to Woodbridge Structured Funding, LLC. [read post]
26 May 2020, 11:17 am
TP Flexible Income Fund Inc, a non-traded traded business development company, was reportedly created by the merger between Pathway Capital Opportunity Fund and Triton Pacific Investment Corporation, according to a press announcement. [read post]
10 Feb 2022, 6:21 am
Securities and Exchange Commission. [read post]
24 Sep 2021, 10:00 am
Registration of securities is a legal requirement that costs investment funds time and money. [read post]
2 Feb 2012, 8:11 am
Companies that outperform rival hedge funds in a slow market will raise red flags that signal possible fraud. [read post]
