Search for: "Federated Investment Management"
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29 Aug 2014, 8:51 am
Lacano Investments v. [read post]
25 Nov 2013, 5:00 am
We have several instances of politicians and investment advisers/fund managers doing bad things to steer investments. [read post]
5 May 2010, 2:55 pm
The report, produced for the Alberta-based Climate Change and Emissions Management Corporation (CCEMC), is based on a review of provincial climate action plans and programs, as well as core federal government climate technology investments. [read post]
15 Oct 2018, 1:44 am
The EB-5 visa program is an investor visa program that allows foreign nationals and their dependents to reside in the United States in order to manage large-scale investments. [read post]
21 Feb 2018, 3:00 am
In October 2016, the Commission approved Rule 22e-4 to require open-end management investment companies to adopt liquidity risk management programs that include classifications of the liquidity of portfolio assets and to conduct periodic evaluations of liquidity risk. [read post]
20 Oct 2010, 12:15 pm
The SEC sued hedge fund managers Paul T. [read post]
1 Mar 2023, 6:30 am
Does state or federal law prohibit a registered investment advisor (“RIA”) from investing client capital, or advising a client to invest capital, in funds, including index funds, owned by asset management firms that engage with portfolio companies and/or exercise appurtenant voting rights to promote ESG objectives, without expressly informing the client of these ESG-promoting practices and obtaining the client’s express advance consent? … [read post]
1 Mar 2023, 6:30 am
Does state or federal law prohibit a registered investment advisor (“RIA”) from investing client capital, or advising a client to invest capital, in funds, including index funds, owned by asset management firms that engage with portfolio companies and/or exercise appurtenant voting rights to promote ESG objectives, without expressly informing the client of these ESG-promoting practices and obtaining the client’s express advance consent? … [read post]
21 Jun 2023, 5:47 am
ECFX, a company that automates the downloading and distribution of filings in federal and state court cases, has taken a $7 million minority growth investment led by Growth Street Partners, with additional participation from The LegalTech Fund, which specializes in investing in innovative legal technology companies, Cove Fund, and other existing investors. [read post]
18 Oct 2010, 3:21 pm
The SEC said a federal judge entered a permanent injunction against Brian and Scott Lines and their Bermuda-based investment firm, Lines Oveseas Management Ltd. [read post]
20 Jul 2011, 4:06 pm
Federal Reserve System - Opportunities Exist to Strengthen Policies and Processes for Managing Emergency Assistance, GAO-11-696, July 21, 2011 Investment... [read post]
2 Jan 2023, 6:30 am
Counseling works only so long as the parties are invested in the process and both believe there is something worthwhile to save. [read post]
18 Dec 2011, 4:47 pm
Previously, I posted a summary of the status of state investment advisor registration requirements for private fund managers in the Northeastin wake of adoption of the Dodd-Frank Act. [read post]
31 Jan 2014, 11:07 am
The SEC’s Regulation S-P, which implements the federal Gramm-Leach-Bliley Act, requires brokers, dealers, investment companies, and registered investment advisers to “adopt policies and procedures that address administrative, technical, and physical safeguards for the protection of customer records and information. [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]
24 Apr 2023, 9:05 pm
In March, President Biden used his first presidential veto to uphold a federal rule laying out investing guidelines for retirement plan fiduciaries. [read post]
5 Aug 2020, 6:09 am
One such company was GPB Capital Holdings LLC, which has been the subject of federal and state litigation. [read post]
24 Jul 2020, 1:04 pm
This is in line with the legislative history of Form 13F and the initial intention to capture only the largest investment managers. [read post]
17 Sep 2015, 8:05 pm
Notably, this conforms the standard under federal tax laws with the state prudent investment laws under the Uniform Prudent Management of Institutional Funds Act (UPMIFA), “which generally provide for the consideration of the charitable purposes of an organization or certain factors, including an asset’s special relationship or special value, if any, to the charitable purposes of the organization, in properly managing and investing the… [read post]
7 Aug 2018, 6:00 am
The Orders Instituting Proceedings were entered against EnCap Investments, L.P., Oaktree Capital Management, L.P., and Sofinnova Ventures, Inc. [read post]
