Search for: "Industry Service Fund"
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28 Jul 2010, 11:59 am
The new Financial Services Secretary reaffirmed the UK position that the pending EU legislation on hedge funds and private equity funds must be proportionate, workable and non-discriminatory. [read post]
Economies of Scale and Merger Efficiencies: Empirical Evidence from the Chilean Pension Funds Market
18 Jan 2013, 6:00 am
ABSTRACT: The financial services industry has been experiencing... [read post]
7 Jun 2019, 7:35 am
Additionally, up to $200,000 in funding will support the implementation of one of the selected solutions. [read post]
9 Apr 2009, 5:14 am
The Denver-based private equity investment firm, which manages more than $300 million in committed capital, generally targets small- to mid-market investments in areas like aerospace, industrial services and agriculture. [read post]
30 Dec 2011, 9:04 am
The SEC charged GE Funding Capital Market Services with securities fraud for participating in a wide-ranging scheme involving the reinvestment of proceeds from the sale of municipal securities. [read post]
10 Jul 2013, 9:41 am
This is expected to create a new category of service providers to fund managers seeking to maximize visibility. [read post]
29 Oct 2009, 8:56 pm
Women and Hedge Funds - this article explores the world and opportunities for women in the hedge fund industry. [read post]
5 Jun 2020, 12:19 pm
FINRA Accuses SunTrust Investment Services of Failing to Properly Supervise Brokers The Financial Industry Regulatory Authority (FINRA) has ordered SunTrust to pay $634K to settle charges accusing the broker-dealer of not properly supervising 17 of its brokers when they recommended that customers hold non-traditional exchange-traded funds (ETFs) for long periods–a practice that can lead to losses especially when there is market volatility. [read post]
17 Feb 2022, 6:01 am
The findings in the Risk Alert are consistent with what we have observed on examination of private fund advisers. [read post]
Testimony at the Committee on Financial Services hearing: “Oversight of the Proxy Advisory Industry”
20 Jul 2023, 6:31 am
About Glass Lewis Founded in 2003, Glass Lewis provides proxy research and/or vote management services to more than 1,300 institutional investor clients — primarily public pension funds, mutual funds and other institutions that invest on behalf of individual investors and have a fiduciary duty to act, including through proxy voting, in the best interests of their beneficiaries. [read post]
Testimony at the Committee on Financial Services hearing: “Oversight of the Proxy Advisory Industry”
20 Jul 2023, 6:31 am
About Glass Lewis Founded in 2003, Glass Lewis provides proxy research and/or vote management services to more than 1,300 institutional investor clients — primarily public pension funds, mutual funds and other institutions that invest on behalf of individual investors and have a fiduciary duty to act, including through proxy voting, in the best interests of their beneficiaries. [read post]
9 May 2010, 11:49 pm
Industry Minister Tony Clement held a press conference on Sunday to announce the first round of Broadband Canada projects to receive funding. [read post]
28 Apr 2022, 9:59 am
KKR has announced it has closed its newest fund, KKR North America Fund XIII, with $19 billion. [read post]
12 Sep 2014, 9:07 am
Brokers also are leaning on fund companies to pay for record-keeping services that traditionally were provided by third-party firms. [read post]
22 May 2012, 1:16 pm
May 21: The Council of Great Lakes Industries (CGLI) has released a new report, funded primarily by the Great Lakes Protection Fund (GLPF), on use of water stewardship tools. [read post]
17 Jan 2018, 6:21 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Brian Royster (Royster), formerly associated with HD Vest Investment Services (HD Vest), in November 2017, was barred from the financial industry by FINRA concerning allegations that he borrowed funds from clients. [read post]
19 Nov 2010, 8:21 am
The fund’s affairs are handled by its investment adviser, and the board’s main role is to make sure that the adviser isn’t charging fund shareholders an exorbitant fee for its services. [read post]
14 May 2009, 10:23 am
NorthPoint Trading Partners offers industry-leading prime brokerage services to Hedge Funds as well as Long-only Asset Managers. [read post]
7 Dec 2019, 5:30 am
According to BrokerCheck records, Johnson is formerly registered with The Financial Industry Regulatory Authority (FINRA) member firm MML Investors Services, LLC (MML). [read post]
12 Jul 2017, 10:13 am
Wildlife Services Benefits Agricultural and Ranching Interests, Not Wildlife This cruel war on wildlife is a taxpayer-funded gift to the agricultural and ranching industry. [read post]
