Search for: "Ocie Banks"
Results 1 - 20
of 68
Sort by Relevance
|
Sort by Date
1 Nov 2023, 11:41 am
Artemundi, a US-based art investment company with over 30-year’s worth of experience, in partnership with Swiss bank Sygnum had notably bought Picasso’s Fillette au beret painting to be fractionalized into 4000 pieces of the Art Security Tokens (AST)[7]; another joint undertaking between Rubey and Tokeny had the same idea for introducing the tokenized claims to custodied assets, while the painting (Carnaval de Binche by James Ensor) is being loaned long-term to the Royal Museum… [read post]
6 Apr 2023, 10:19 am
Meet the Money 2023 Participants Access Point Financial Accor Aimbridge Hospitality American Investment Migration Anderson Hospitality Consultants APICII Arcade Capital Ashford Asia Pacific Capital Company Atlas Hospitality Group Autocamp Balboa Inn Hotel Bank OZK Bayview Asset Management Bergstrom Capital Advisors The Blackhawk Real Estate Company BlackRidge Group BLLA Bosworth Hospitality Partners Caliber Hospitality California Hotel & Lodging Association California Lodging Investment… [read post]
2 May 2022, 4:02 am
Rivera, in her book Pedigree: How Elite Students Get Elite Jobs, places large law firms into a category called “elite professional service” firms (“EPS”), making law firms cousins with investment banking and consulting firms. [read post]
26 Mar 2022, 9:35 am
Both firms extended offers before OCIs started. [read post]
14 Jan 2022, 11:25 am
He has helped hotels, restaurants, retailers, shopping centers, banks and other commercial property owners defend more than 600 ADA cases. [read post]
5 Jan 2022, 6:25 pm
“It’s tough to make predictions, especially about the future. [read post]
4 Mar 2021, 8:24 am
On March 3, 2021, the Securities and Exchange Commission’s Division of Examinations (EXAMS) (formerly the Office of Compliance Inspections and Examinations (OCIE) released its 2021 examination priorities. [read post]
22 Dec 2020, 9:43 am
December 16, 2020 Clients, Friends, Associates: As we prepare for a new year, we also reflect on an eventful, sometimes chaotic, 2020, dominated by the emergence of the novel coronavirus (“COVID-19”). [read post]
20 Nov 2020, 10:10 am
Management of Native American Tribe's Investment Portfolio Prompts FINRA Bar (BrokeAndBroker.com Blog)CEO Charged With Securities And Bank Fraud In Alleged Scheme To Raise Funds For Digital Advertising Company / CEO Accused of Having Corporate Executive Clients Impersonated to Raise Investments (DOJ Release)SEC Charges E-Commerce Startup and CEO With Defrauding Investors (SEC Release)SEC Charges Former Finance Department Employee with Insider Trading (SEC Release)Frail, Ineffective… [read post]
16 Oct 2020, 6:41 am
The SEC’s Office of Compliance Inspections and Examinations (“OCIE”) published a Risk Alert identifying commonly observed key deficiencies in OCIE’s examinations of advisers to private funds. [read post]
4 Sep 2020, 6:31 am
Schwenkel, and Andrea Gede-Lange, on Tuesday, September 1, 2020 Tags: Acquisition agreements, Adverse effects, Delaware cases, Delaware law, Liability standards, Merger litigation, Mergers & acquisitions, Private equity OCIE Publishes Risk Alert Regarding COVID19-Related Compliance Risks and Considerations Posted by Jessica Forbes, Stacey Song, and Joanna D. [read post]
13 Aug 2020, 8:12 am
OCIE said that firms may want to consider implementing additional steps to validate the identity of the investor and the authenticity of disbursement instructions, including whether bank account names and numbers are accurate.Supervision of personnel. [read post]
15 Jul 2020, 4:25 am
The SEC’s Office of Compliance Inspections and Examinations (“OCIE”) has published Risk Alerts for Reg BI and Form CRS, shedding light on the practical considerations to be aware of during initial examinations following June 30, 2020. [read post]
22 Jun 2020, 10:34 am
The webinar provided an overview of Reg BI obligations, defined key terms, reviewed the SEC’s OCIE guidance regarding regulatory expectations, and provided practical suggestions for implementation by broker-dealers (BDs) and registered investment advisers (RIAs) for the June 30 deadline for compliance. [read post]
19 May 2020, 6:32 pm
The publication noted that OCIE has published eight risk alerts related to cybersecurity. [read post]
16 Apr 2020, 4:55 am
Wyoming Plans to Create New Bank Dedicated for Digital Assets. [read post]
14 Apr 2020, 3:53 pm
Puerto Rico: On April 8th, OCI issued Ruling Letter No. [read post]
31 Mar 2020, 1:50 pm
In its 2020 Annual Report, the OCIE identified investment advisers for private funds, as a priority, explaining that “OCIE will review RIAs to private funds to assess compliance risks, including controls to prevent the misuse of material, non-public information and conflicts of interest, such as undisclosed or inadequately disclosed fees and expenses, and the use of RIA affiliates to provide services to clients. [read post]
24 Mar 2020, 3:49 pm
OCIE. [read post]
5 Feb 2020, 3:00 pm
BANKING J. [read post]
