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31 Jul 2022, 10:00 pm
Given its existing limitations, the Committee on Foreign Investment in the United States is ready for its next evolution—not a tweaking around the edges of an existing process that continues to perpetuate limitations to the flexibility and certainty essential to managing a range of interests, but a foundational shift from a “committee” to a statutorily established “commission” comparable to others operating at the federal level, such as the… [read post]
31 Jul 2022, 10:00 pm
Given its existing limitations, the Committee on Foreign Investment in the United States is ready for its next evolution—not a tweaking around the edges of an existing process that continues to perpetuate limitations to the flexibility and certainty essential to managing a range of interests, but a foundational shift from a “committee” to a statutorily established “commission” comparable to others operating at the federal level, such as the… [read post]
14 Jun 2022, 7:01 am
The Securities and Exchange Commission today announced that investment advisory firm Weiss Asset Management LP has agreed to pay approximately $6.9 million to settle charges that it violated the federal securities laws when it unlawfully purchased stock…Read the Full Press ReleaseHave a securities law question? [read post]
Peter Madoff 10 Sentence For Defrauding ERISA Plans Reminder Manage Plan Investment Responsibilities
27 Dec 2012, 3:45 am
He was sentenced in Manhattan federal court by U.S. [read post]
2 Sep 2014, 1:01 pm
Federal Capital Partners, of Chevy Chase, a real estate investment company, announced on Tuesday that it is recapitalizing six properties in Maryland and Virginia valued at over $240 million. [read post]
15 Dec 2011, 12:00 pm
The seminar will focus on how SBA-licensed Small Business Investment Companies (SBIC) work and how they might be a viable investment option for national banks and federal savings associations. [read post]
17 Oct 2008, 10:45 am
With the markets down 40% or so in the last few months, federally registered investment advisers are facing a new issue - the potential loss of the ability to maintain their federal registration.Investment advisers with over $30 million in assets under management must register with the SEC. [read post]
30 May 2008, 1:03 am
It is learned that with the strong support of All-China Federation of Returned Overseas Chinese and Tianjin Federation of Returned Overseas Chinese as well as all the Chinese living abroad, relatives of overseas Chinese, and overseas Chinese entrepreneurs, the Fund, with Friedmann Pacific Assets Management Co., Ltd. under Hong Kong based Friedmann Pacific Investment Holdings Limited as the initiator, is jointly set up and run by Friedmann Pacific Assets… [read post]
7 Feb 2007, 5:30 pm
Homeland Security: Applying Risk Management Principles to Guide Federal Investments GAO-07-386T, February 7, 2007: "Since the terrorist attacks of September... [read post]
2 Feb 2015, 8:56 am
<> A New Flood Standard for Federal Investments Will Help Communities Weather Climate Change, Extreme Storms - The White House is building on that experience by releasing a new flood risk management standard for new and rebuilt federally funded structures in and around floodplains. [read post]
21 May 2012, 5:00 am
Form ADV requires a registered investment adviser to state the firm’s assets under management. [read post]
18 Jan 2012, 6:08 pm
Division of Responsibility Between Federal or State Regulators. [read post]
15 Jul 2012, 4:39 pm
” Despite recent efforts by the Federal Government to make changes to the Investment Canada Act approval process, however, criticism remains from some, mostly in the wake of the failed BHP/Potash transaction, including calls for increased clarity relating to the key test for foreign investment in Canada – i.e., the “net benefit to Canada test”. [read post]
7 Nov 2017, 5:34 pm
A former portfolio manager for an investment fund founded by financier George Soros sexually abused women at a Manhattan penthouse dungeon, according to a $27 million Brooklyn federal suit. [read post]
30 May 2009, 11:57 am
Tired of waiting for the federal government to regulate hedge funds, Connecticut, home to many hedge funds, may enact legislation requiring fund managers that have not registered with the SEC as investment advisers to disclose material conflicts of interest. [read post]
2 Feb 2023, 10:57 am
A former Allianz SE fund manager who was accused of investment adviser fraud, has accused federal prosecutors of committing ethical breaches by turning his own lawyers against him. [read post]
11 Aug 2016, 2:55 pm
They claimed assets under management in the millions when in fact they did not manage any client assets at all, and they fabricated a hypothetical portfolio of investments earning 20 to 66 percent annual returns and passed it off to investors as real trading. [read post]
27 Sep 2016, 6:44 am
The investment advisers, Advantage Investment Management, LLC (“AIM”) and Washington Wealth Management, LLC (“WWM”) failed to disclose receipt of revenue from third-party broker-dealers in the form of forgivable loans and the consequent conflicts of interest. [read post]
25 Mar 2009, 1:06 pm
Thereafter, he began his own investment firms, Barton Asset Management and Twinspan Capital. [read post]
13 Dec 2016, 10:13 am
U.S. persons who own foreign securities for their own portfolios and/or who invest in foreign securities on behalf of others (referred to as ‘‘end-investors’’), including investment managers and fund sponsors such as: Managers of private and public pension funds Hedge fund managers Managers and sponsors of private equity funds, venture capital companies and similar private investment vehicles… [read post]
