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24 Jan 2022, 10:00 pm
This Q&A provides a high-level overview of retail investment funds in the Russian Federation. [read post]
24 Jan 2022, 10:00 pm
This Q&A provides a high-level overview of retail investment funds in the Russian Federation. [read post]
31 Oct 2011, 3:40 pm
On October 24, 2011, the South Dakota Division of Securities issued a revision to their regulations which provide new exemptions from investment adviser registration for those advisers that qualify for the federal private fund adviser exemption or the federal venture capital exemption. [read post]
15 Sep 2010, 3:31 pm
A federal court on September 13, 2010 found hedge fund manager Robert A. [read post]
15 Sep 2010, 3:31 pm
A federal court on September 13, 2010 found hedge fund manager Robert A. [read post]
15 May 2015, 9:15 am
"Waste Information & Management Services, Inc. [read post]
29 Jan 2020, 2:39 pm
Explore Your Legal Rights Our class action attorneys represent plaintiffs in claims against hedge funds, investment advisors, banks, and others for potential violations of the federal or state securities laws. [read post]
2 Jun 2022, 3:07 pm
State and federal law have long recognized fiduciary duties for those who manage other people's money. [read post]
9 Oct 2018, 2:18 pm
In cases where the investment manager will manage only one fund, the investment manager may also act as a general partner of the LP / manager of the LLC. [read post]
29 Nov 2011, 1:23 pm
NASAA announced that it has developed a coordinated review program for investment advisers switching from federal to state securities regulatory oversight as mandated by the Dodd-Frank Act, which requires investment advisers with assets under management of between $25 million and... [read post]
11 Jan 2012, 9:01 am
On December 29, 2011, the SEC instituted an administrative proceeding against an investment adviser and its principal alleging federal securities laws violations. [read post]
14 Apr 2020, 1:11 pm
Investment Management Firms May Be Considered Essential Financial Businesses Under Federal Guidance and State Orders. [read post]
11 Nov 2009, 11:07 am
In an absolutely stunning display of prosecutorial incompetence, federal prosecutors managed to present a case against Bear Stearns' hedge fund managers, Ralph Cioffi and Matthew Tannin that was so weak that not only were they acquitted by the jury in six hours of deliberation, but according to Bloomberg, one of the jurors said after the trial was over that she'd invest with them if she had the money. [read post]
24 Nov 2020, 6:52 am
Coggins lied to investors about how well their investments were performing, the amount of assets he was managing, how he planned to invest the Fund’s assets, as his experience managing investments. [read post]
18 Oct 2010, 3:34 pm
The SEC announced that on October 5, 2010, the federal district court in Minnesota entered by consent a Partial Final Judgment as to hedge fund manager Gregory Bell and his firm Lancelot Investment Management, LLC, permanently enjoining them from violating... [read post]
15 Nov 2013, 5:24 pm
In this order (summary below), the SEC permits the manager to receive fees based on the facts of situation: An order has been issued on an application filed by Davidson Kempner Capital Management LLC (“DKCM”) under Section 206A of the Investment Advisers Act of 1940 and Rule 206(4)-5(e) thereunder. [read post]
8 Mar 2023, 5:14 pm
In arguably the broadest review since that undertaken by the former Corporations and Markets Advisory Committee in 2012, the Assistant Treasurer announced that the Federal Government will undertake a review of “the regulatory framework for managed investment schemes”, with Treasury to release a public consultation paper by mid-year. [read post]
13 Dec 2006, 5:05 am
The Securities and Exchange Commission sued Edwin Buchanan Lyon IV, the managing partner and chief investment officer of Gryphon Partners, along with Gryphon and six [...] [read post]
26 Oct 2011, 6:37 am
In light of proposals that were announced in the 2011 federal budget, this investment strategy is something owner-managers ought to reconsider. [read post]
8 Jul 2009, 4:09 pm
Nine fund managers were named for the Legacy Securities Public-Private Investment Program (commonly referred to as "PPIP"), according to today's joint press release by the Treasury Department, the Federal Reserve, and Federal Deposit Insurance Corporation. [read post]
