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7 Apr 2024, 9:40 am
RIA Novosti alleged these comments were made during a Shangai Cooperation Organization (SCO) event. [read post]
4 Apr 2024, 5:10 am
Signup to receive the Early Edition in your inbox here. [read post]
28 Mar 2024, 9:01 pm
However, the definition does not cover RIAs or ERAs. [read post]
21 Mar 2024, 5:45 am
Russian President Vladimir Putin’s recent comments that his country was ready for nuclear war if needed, made in the runup to his dubious re-election this past weekend, were just the latest of such threats, direct and indirect, as he tries to redeem his full-scale invasion of Ukraine two years ago. [read post]
13 Mar 2024, 5:33 am
RIA indicated the probable involvement of Kremlin-aligned actors, relating these to geopolitical tensions, as with Ukraine. [read post]
1 Mar 2024, 4:07 pm
Moskalkova told RIA that everything administratively necessary for the repatriation is in place and that she is in contact with Ukrainian authorities about the possible transfer of remains. [read post]
29 Feb 2024, 7:00 am
The post Investment Advisers’ May Have New AML Obligations Under FinCEN Proposed Rule appeared first on RIA Compliance Blog. [read post]
16 Feb 2024, 6:18 am
The report states: “This assessment finds that the highest illicit finance risk in the investment adviser sector is among [Exempt Reporting Advisers] ERAs …, followed by RIAs who advise private funds, and then RIAs who are not dually registered as, or affiliated with, a broker-dealer (or is, or affiliated with, a bank). [read post]
14 Feb 2024, 5:43 am
This includes investment advisers registered with the Securities and Exchange Commission (SEC), also known as registered investment advisers (RIAs); and investment advisers that report to the SEC as exempt reporting advisers (ERAs).The proposed rule would require RIAs and ERAs to implement an AML/CFT program; file certain reports, such as suspicious activity reports (SARs) with FinCEN; keep records such as those relating to the transmittal of funds; and fulfill other obligations… [read post]
13 Feb 2024, 9:09 am
This will likely affect RIAs that are structured as limited partnerships and will require the general partner of the RIA to comply with the CTA and submit a BOI Report. [read post]
13 Feb 2024, 2:40 am
This was the question raised by the Hungarian Supreme Court (Kúria) in a preliminary ruling procedure, in which this issue was raised as a question of jurisdiction. [read post]
12 Feb 2024, 1:09 pm
RIAs: Starting in about a year, registered investment advisers which advise PRIVATE unregistered fund vehicles must include, in their SEC filings on Form PF, private information about the strategies that such advisers and funds utilize in their securities transactions. [read post]
6 Feb 2024, 7:26 am
Todas essas circunstâncias denotam a atualidade do debate sobre Direito & Alimentação e legitimam a produção de Dossiê sobre "Comida e Direito Internacional", na Revista de Direito Internacional, que poderia albergar textos de colegas brasileiros e estrangeiros sobre os seguintes temas: - Direito Humano à Alimentação- Segurança alimentar- Rotulagem, riscos, precaução e rastreabilidade- Novos… [read post]
6 Feb 2024, 7:26 am
Todas essas circunstâncias denotam a atualidade do debate sobre Direito & Alimentação e legitimam a produção de Dossiê sobre "Comida e Direito Internacional", na Revista de Direito Internacional, que poderia albergar textos de colegas brasileiros e estrangeiros sobre os seguintes temas: - Direito Humano à Alimentação- Segurança alimentar- Rotulagem, riscos, precaução e rastreabilidade- Novos… [read post]
5 Feb 2024, 5:46 pm
Rias and Adams died at the scene while Pitts died at the hospital. [read post]
5 Feb 2024, 4:41 pm
Robert Rias, 15, and Domonic Adams Jr., 14, were pronounced dead at the scene. [read post]
4 Feb 2024, 4:40 pm
On 1 February 2024, Steyn J dismissed the application to amend the Claim Form and struck out the existing claim in Trump v Orbis Business Intelligence Ltd [2024] EWHC 173 (KB). [read post]
1 Feb 2024, 11:55 am
Richard Goldston Edwared Jones For example, FINRA Rule 3240 governs borrowing and lending arrangements between registered investment advisors (RIAs) and customers of their member firm. [read post]
1 Feb 2024, 10:46 am
These items include: RIA or CPO/CTA registration – there may be a requirement for the manager to obtain certain licenses based on the fund’s underlying investments or economic activity; for example, RIA registration is required if the manager invests in securities and CPO/CTA registration is required if the fund transacts in futures or commodities. [read post]
1 Feb 2024, 5:01 am
Signup to receive the Early Edition in your inbox here. [read post]
