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8 Dec 2021, 7:27 am
California-registered investment advisers (“CA RIAs”) that manage pooled investment vehicles and are deemed to have custody of client assets are also subject to independent party surprise examinations. [read post]
8 Dec 2021, 11:27 am
California-registered investment advisers (“CA RIAs”) that manage pooled investment vehicles and are deemed to have custody of client assets are also subject to independent party surprise examinations. [read post]
18 Dec 2023, 2:48 pm
On November 20, 2023, the Securities and Exchange Commission (“SEC”) charged Payward Inc. and Payward Ventures Inc., together known as Kraken, with operating Kraken’s trading platform as an unregistered securities exchange, broker, dealer, and clearing agency. [read post]
31 Dec 2019, 8:13 am
California-registered investment advisers (“CA RIAs”) that manage pooled investment vehicles and are deemed to have custody of client assets are also subject to independent party and surprise examinations. [read post]
15 Dec 2022, 8:00 am
District Court for the District of New Hampshire granted the SEC’s motion for summary judgment against LBRY, Inc., holding that LBRY offered a crypto asset in violation of the registration provisions of federal securities laws. [read post]
15 Dec 2022, 4:00 am
District Court for the District of New Hampshire granted the SEC’s motion for summary judgment against LBRY, Inc., holding that LBRY offered a crypto asset in violation of the registration provisions of federal securities laws. [read post]
22 Dec 2020, 9:43 am
California-registered investment advisers (“CA RIAs”) that manage pooled investment vehicles and are deemed to have custody of client assets are also subject to independent party and surprise examinations. [read post]
11 May 2007, 3:42 pm
Am., Inc., 92 Fair Empl. [read post]
7 Oct 2021, 6:37 am
On September 15, Coinbase Financial Markets Inc, a subsidiary of Coinbase Global, Inc. [read post]
20 Oct 2023, 2:40 pm
The event brought together top investment managers and allocators to discuss specific investment ideas and the fund investment environment. [read post]
19 Apr 2024, 9:27 am
Ripple Labs Inc. [read post]
5 Apr 2018, 8:24 am
Similar to the SEC, the Financial Industry Regulatory Authority, Inc. [read post]
13 Feb 2023, 5:59 am
[ix] While healthcare services are expected to remain a key investment focus for many private equity firms, the risk of False Claims Act (“FCA”) exposure associated with such investments has also grown. [read post]
1 Apr 2021, 8:44 am
The most recent target is Payoneer Inc., which announced its $3.3-billion SPAC merger last month. [read post]
18 Jul 2014, 10:40 am
Under the Rule, RIAs with custody that manage pooled investment vehicles must provide notice of such custody on the Form ADV. [read post]
19 Apr 2012, 7:42 pm
The Schedule 1 Foundations include, among others, The Dayle H & Michael Katz Foundation Inc. [read post]
11 Apr 2017, 3:01 pm
(Pix © Larry Catá Backer 2016) I will be teaching a course on Corporate Social Responsibility. [read post]
4 Nov 2007, 7:13 am
Phone: (907) 225-2702 Autism FEAT of Alaska, Inc. [read post]
24 Oct 2019, 9:16 am
Christopher Majdi, Director of Valuation & FMV Services at Premier, Inc. [read post]
24 Oct 2019, 9:16 am
Christopher Majdi, Director of Valuation & FMV Services at Premier, Inc. [read post]
