Search for: "Industry Service Fund"
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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]
23 Nov 2010, 10:11 am
The government's investigation into insider trading in the financial services industry has put Wall Street on the defensive, with even those hedge funds that haven't been publicly linked to the investigation tapping high-powered attorneys. [read post]
5 May 2013, 7:36 am
Employee misclassification also generates substantial losses to the Treasury and the Social Security and Medicare funds, as well as to state unemployment insurance and workers’ compensation funds. [read post]
8 Dec 2022, 8:11 am
In the second in our global series of regulatory podcasts focusing on conduct issues, financial services partners from Australia, Hong Kong, Luxembourg, Germany, United Kingdom and the United States consider the cross border distribution of funds by focussing on the following five topics: What trends or industry developments are you seeing in your jurisdiction as regards the cross-border distribution of funds? [read post]
18 Sep 2015, 6:36 am
With the EU having put in place a complex web of overlapping law, regulation and guidance during 2013 and 2014, national regulators are faced with the task of interpreting these requirements and imposing them on a sometimes skeptical (if not openly hostile) financial services industry. [read post]
25 Oct 2016, 1:54 pm
Hedge Fund Services Awards 2016. [read post]
24 Apr 2023, 11:17 am
Arcline Investment Management has announced it has closed its third fund, Arcline Capital Partners III, with $4.5 billion. [read post]
23 Sep 2021, 4:17 pm
FINRA has barred former W&S Brokerage Services, Inc. broker Ronald Daley from the securities industry. [read post]
13 Apr 2011, 2:39 pm
The Minister for Financial Services & Superannuation has approved a grant of financial assistance under Part 23 of Superannuation Industry (Supervision) Act 1993 to the trustee of an APRA-regulated fund as a result of loss suffered as a result of fraudulent conduct or theft. [read post]
18 Jan 2012, 1:26 pm
Reed Smith has added a partner to its financial industry group in Washington, the firm announced Wednesday. [read post]
27 Oct 2009, 7:27 pm
(http://www.hedgefundlawblog.com) Private Equity Funds Not Excluded Today the House Financial Services Committee voted to require hedge fund managers to register with the Securities and Exchange Commission. [read post]
15 Jun 2022, 6:29 am
On 14 June 2022, the Financial Ombudsman Service (FOS) published a discussion paper on possible changes to its future funding model. [read post]
4 May 2021, 7:18 am
Alabama Investor Contends The Daughtry Group Owner Unsuitably Invested His Retirement Funds Another investor has stepped forward to file a Financial Industry Regulatory Authority (FINRA) arbitration claim against Kestra Investment Services over financial losses sustained while working with the firm’s former broker, James Blake Daughtry. [read post]
1 Jul 2021, 7:00 am
The Vistria Group, based in Chicago, focuses on making investments in middle market companies in healthcare and a few other industries. [read post]
28 Jul 2014, 10:00 am
House Bill to Fund Marijuana Businesses A bill recently passed in the House of Representatives that will allow banks to “provide traditional banking services to marijuana businesses that are legal under state law. [read post]
28 May 2021, 6:27 am
Hopkins worked in the industry since the 1990s. [read post]
1 Aug 2023, 9:40 am
Founded in 1999, the firm targets companies within healthcare and several other industries, specifically those generating between $10 million and $50 million in annual EBITDA. [read post]
24 May 2023, 6:59 am
GTCR, based in Chicago, pursues a wide range of investments in several industries, including healthcare. [read post]
Former Financial Advisor Eric Vici BARRED from the Securities Industry by FINRA – Melbourne, Florida
17 May 2021, 11:35 am
Vici was expelled from the brokerage industry for refusing to cooperate with a FINRA investigation that originated from a complaint made to FINRA by the executor of a customer’s estate about his handling of the customer’s funds. [read post]
16 Mar 2017, 2:41 am
Bitcoin and other digital currencies have been a bit of a fringe phenomenon in the investment management industry since inception. [read post]
