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17 Jan 2024, 3:51 am
Products and services Firms need to apply an appropriate level of due diligence in relation to the loans they offer before marketing such loans to investors, to ensure an investor can select an investment or portfolio with a risk profile that is aligned to their needs and avoiding foreseeable harm. [read post]
18 Dec 2023, 2:48 pm
SEC Issues Risk Alert Clarifying Exam Selection Process for Registered Investment Advisers. [read post]
15 Dec 2023, 4:17 am
A seasoned veteran in the legal technology realm, Kevin has an expansive career portfolio, spanning over two decades across various esteemed law firms and legal service providers. [read post]
15 Nov 2023, 5:10 am
Here, we carefully curate and distill the core essence of recent press releases and articles from selected vendors that are integral to this continually evolving ecosystem. [read post]
11 Nov 2023, 4:25 am
(3) Other clarifications Fund managers managing portfolios which invest in Tokenised Securities a [read post]
18 Oct 2023, 7:43 am
Thayer operated a tax preparation service and allegedly opened an account in a client’s name where he obtained full account control. [read post]
10 Oct 2023, 9:01 pm
[4] Economic activist investors are distinct from other activists, who seek to redirect companies’ resources in service of non-corporate-value-maximizin [read post]
9 Oct 2023, 9:05 pm
Mutual funds, especially passive investors like index funds, have weak incentives to monitor and acquire information about the companies in their portfolios. [read post]
5 Oct 2023, 11:32 am
The Financial Services Leadership Councill works to identify competitiveness issues impacting the Greater Boston financial services industry and formulates policies to address those issues. [read post]
29 Sep 2023, 6:52 am
In 2023/24 the FCA will be selecting a sample of firms in the platform portfolio that facilitate adviser charging alongside firms in other portfolios offering similar services. [read post]
20 Sep 2023, 9:01 pm
Application of CSRD to Portfolio Companies. [read post]
19 Sep 2023, 7:58 am
After a few months of unemployment, I walked into Record Mirror with a portfolio of school plays, teenage adventures, and girlfriends. [read post]
17 Sep 2023, 8:40 am
Christina has over 20 years of experience pioneering innovation in the legal services and technology space. [read post]
14 Sep 2023, 4:00 am
Buyers/Clients have multiple questions as they manage their portfolio of suppliers and individual matters. [read post]
13 Sep 2023, 8:22 am
Parker MacIntyre provides legal and compliance services to investment advisers, broker-dealers, registered representatives, hedge funds, and issuers of securities, among others. [read post]
11 Sep 2023, 9:01 pm
With a few limited exceptions, all registered advisers (“RIAs”) will have their hands full implementing new and modified reporting, and RIAs, exempt reporting advisers (“ERAs”) and other advisers exempt from registration must develop processes — and make difficult judgments — about providing preferential treatment to selected investors and engaging in the targeted activities. [read post]
30 Aug 2023, 5:45 am
Navigating Through an IRS Audit The IRS audit process begins when you receive a notice that your business has been selected for review – either due to inconsistencies between reported income and actual revenue or through random selection based on statistical algorithms used by the agency. [read post]
30 Aug 2023, 5:44 am
How to Choose the Right Tax Attorney Selecting an appropriate tax attorney requires thoughtful consideration. [read post]
29 Aug 2023, 8:10 am
"The report aims to provide practical guidance to States, businesses, especially financial institutions of all types, civil society and other stakeholders on how to align better ESG approaches with the UNGPs in the context of financial products and services. [read post]
28 Aug 2023, 11:19 pm
DG GROW also relies on the "research group" rather selectively. [read post]
