Search for: "Ria Ventures LLC"
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13 Jul 2023, 7:00 am
Securities and Exchange Commission (“SEC”) issued an order against Insight Venture Management LLC (“Insight”). [read post]
17 Jan 2024, 4:31 pm
Fatemi, LLC are here to help. [read post]
8 Sep 2023, 12:51 pm
Between May 2019 and December 2019, Hoffman allegedly advised clients to invest in Zima Global Ventures, LLC, a company claiming to trade cryptocurrencies and digital assets for profit. [read post]
27 Nov 2011, 1:55 am
Cole-Frieman, Partner, Cole-Frieman & Mallon LLP Jennifer Keese-Powell, Marketing Manager, Hall Capital Partners LLC Lois Towers, Compliance Officer, Pantheon Ventures (US) **** Cole-Frieman & Mallon LLP provides a variety of services including: hedge fund formation, advisor registration and counterparty documentation, CFTC and NFA matters, seed deals, internal investigations, operational compliance, regulatory risk management, hedge fund due diligence, marketing and… [read post]
21 Feb 2019, 3:00 am
Sources: SEC Cancels Internet RIA Registration for Failure to LaunchNotice of Intention to CancelAjenifuja Investments, LLC; Order Cancelling Registration Pursuant to Section 203(h) of the Investment Advisers Act of 1940 Exemption for Certain Investment Advisers Operating Through the Internet Release No. [read post]
22 Feb 2020, 3:00 am
The firm has a focus on fintech companies, broker-dealers, and investment managers (hedge fund, VC, PE, RIA, etc). [read post]
20 Apr 2023, 1:20 pm
On February 9, 2023, the Security and Exchange Commission (“SEC”) charged Payward Ventures, Inc. and Payward Trading Ltd. [read post]
4 Jan 2017, 3:55 pm
RIAs with Custody. [read post]
29 Jan 2020, 4:55 am
Regards, Bart Mallon & Justin Schleifer Aspect Advisors LLC Aspect Advisors LLC is modern regulatory consultant providing customized compliance solutions to entrepreneurs. [read post]
8 Mar 2022, 8:10 am
Regards, Bart Mallon & Justin Schleifer Aspect Advisors LLC Aspect Advisors LLC is modern regulatory consultant providing customized compliance solutions to entrepreneurs. [read post]
8 Mar 2022, 12:10 pm
Regards, Bart Mallon & Justin Schleifer Aspect Advisors LLC Aspect Advisors LLC is modern regulatory consultant providing customized compliance solutions to entrepreneurs. [read post]
20 Oct 2023, 2:40 pm
The Audit Rule requires RIAs to obtain annual audited financial statements for each of its fund clients. [read post]
