Search for: "Federated Investment Management"
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11 Mar 2016, 6:00 am
The Securities and Exchange Commission (“SEC”) recently brought an administrative proceeding against unregistered fund manager Steven Zoernack and his firm, EquityStar Capital Management, LLC (“EquityStar”), for engaging in allegedly fraudulent conduct in violation of federal securities and investment adviser laws. [read post]
14 May 2015, 7:57 am
Securities and Exchange Commission’s (“SEC”) Division of Investment Management (“Division”) recently released a Guidance Update (“Guidance”) highlighting the importance of cybersecurity for registered investment companies (“funds”) and registered investment advisers (“advisers”). [read post]
12 Jan 2015, 3:46 pm
Summary – The Board Should Enhance Its Supervisory Processes as a Result of Lessons Learned From the Federal Reserve’s Supervision of JPMorgan Chase & Company’s Chief Investment Office: “In May 2012, media outlets reported that JPMorgan Chase & Company’s (JPMC) Chief Investment Office (CIO) incurred approximately $2 billion in losses due to a complex trading strategy involving credit derivatives. [read post]
21 Dec 2018, 4:50 am
In federal court in New Jersey, a jury has found former investment manager Vincent P. [read post]
14 Aug 2014, 12:31 pm
Federal Realty Investment Trust, of Rockville, a real estate investment trust specializing in the ownership, management and development of retail assets, reported improved funds from operations for the second quarter, which ended June 30. [read post]
27 Mar 2013, 1:29 pm
This program will provide startup hedge fund managers and new investment advisers with the information they need to navigate the registration process, regulatory requirements, and examination focus of the DOC and the SEC, including: Eligibility for reliance on the “exempt reporting adviser” provisions and what that means in the registration process What the DOC and SEC expect to see in hedge fund manager and investment adviser compliance programs … [read post]
9 Aug 2013, 9:39 am
Broker-dealers and investment advisers are also subject to different standards under federal law when providing investment advice about securities. [read post]
28 Sep 2017, 6:26 pm
While many investment firms and financial managers claim there is no need for a trade-off, they are generally focusing on a specific area of impact investments, which may soon be dominated by big investment banks and investment management companies. [read post]
26 May 2015, 5:37 am
Co-investment is an area that many institutional investors look for when investing with a fund manager. [read post]
11 Aug 2023, 9:37 am
Firstly, they provide opportunities for hedging and risk management. [read post]
2 Apr 2015, 8:11 pm
As part of overseeing this spending, OMB directs federal CIOs to report on their management of IT in such areas as capital planning and investment management, security, and strategic planning. [read post]
29 Jul 2019, 7:54 am
As state and federal agencies investigate the troubled alternative asset management company, investors wait, unable to sell, wondering if the money they invested will evaporate. [read post]
27 Apr 2009, 12:37 pm
Ross and the money management firm Invesco are leading a group committing $1 billion to buy toxic bank loans and securities through the federal government's Public-Private Investment Program. [read post]
8 Jun 2020, 8:18 am
Our Investment Adviser Group assists financial service providers with complex issues that arise in the course of their business, including complying with federal and state laws and rules. [read post]
9 Sep 2012, 11:52 am
Has the named fiduciary, with respect to control or management of plan assets, appointed the investment manager? [read post]
22 Nov 2013, 5:14 pm
A federal court in New York recently ordered MF Global to pay over $1 billion in restitution to customers. [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]
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]
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]
