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29 Oct 2007, 1:35 am
The North American Securities Administrators Association announced a series of investment adviser best practices that it is recommending after it conducted investment adviser tests that showed 2135 deficiencies in 13 compliance areas. 418 investment advisers in 43 states and provinces participated in the tests, which were overseen by NASAA's Investment Adviser Operations Project Group. [read post]
23 Feb 2018, 4:09 am
View Investment Association calls for increased transparency in the use of FX last look, 22 February 2018 [read post]
12 Jun 2012, 5:03 am
It’s similar to asking: “What is the return on investment from attending the Ct Bar Association’s annual meeting? [read post]
5 Mar 2019, 10:03 am
Kohn & Associates, Ltd. [read post]
20 Jan 2017, 10:16 am
Our investment attorneys are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against Bryon Martinsen (Martinsen) currently associated with Centaurus Financial, Inc. [read post]
23 Nov 2018, 6:03 am
On 22 November 2018, the Investment Association (the IA) published an updated Principles of Remuneration (the Principles). [read post]
28 Nov 2018, 6:00 am
Relevant statistics can be found in the North American Securities Administrators Association’s 2018 Investment Adviser Section Annual Report. [read post]
29 Oct 2019, 11:42 am
The Securities and Exchange Commission today announced that Natasha Vij Greiner has been named Associate Director in its Office of Compliance Inspections and Examination’s (OCIE) investment adviser and investment company examination…Read the Full Press ReleaseHave a securities law question? [read post]
24 Apr 2020, 9:23 am
The Securities and Exchange Commission today announced that Louis Gracia and Vanessa Horton have been named Associate Directors of the Investment Adviser/Investment Company (IA/IC) examination program in the agency's Chicago Regional Office. [read post]
23 May 2023, 12:41 pm
The rule includes Form CRS relationship summary which provides customers with information about the types of services the firm offers; the fees, costs, conflicts of interest, and required standard of conduct associated with those services; whether the firm and its investment professionals have reportable legal or disciplinary history; and how to get more information about the firm. [read post]
25 May 2011, 1:24 pm
Investors who have held Apple REITs in IRA accounts custodied by David Lerner & Associates accounts should contact us to discuss claims against the firm, Apple REITs and others for overvaluing their investments. [read post]
22 Mar 2023, 10:00 am
In California, a real estate investment trust is “any unincorporated association or trust formed to engage in business and managed by, or under the direction of, one or more trustees for the benefit of the holders or owners of transferable shares of beneficial interest in the trust estate and (1) that formed for the purpose of engaging in business as a real estate investment trust under the Federal Internal Revenue Code, (2) the sale of the shares of which has been… [read post]
5 Nov 2021, 8:55 pm
On 4 November 2021, the Investment Association published version 3.0 of its model discretional investment management agreement, in co-operation with Norton Rose Fulbright. [read post]
18 Dec 2017, 8:51 am
TA Associates has announced a strategic growth investment in Healix. [read post]
8 Nov 2023, 2:01 pm
Three researchers at Johns Hopkins University and one at the University of Maryland, College Park were awarded a total of $759,733 as part of a landmark $100 million investment by the Alzheimer’s Association into research initiatives. [read post]
21 Jun 2011, 2:58 pm
Investors are suing David Lerner Associates, claiming the company acted negligently in the sale and underwriting of more than $6.8 billion in shares of Apple Real Estate Investment Trusts. [read post]
18 Nov 2020, 6:54 am
Earlier this year, the North American Securities Administrators Association (NASAA), through a working group within the Senior Issues/Diminished Capacity Committee, issued a report of findings and recommendations relating to issues of cognitive impairment or diminished capacity that may affect investment advisers and other financial professionals. [read post]
11 Feb 2014, 6:30 am
After a slow third quarter, venture capital investments rebounded in the last quarter of 2014, according to the MoneyTree Report by PriceWaterhouseCoopers and the National Venture Capital Association based on data from Thomson Reuters.Venture capital investments in New England companies rose to $917 million invested in 106 companies for the 4th quarter, an 7% increase over the 3rd quarter in terms of dollars invested, but a 5% decrease in terms of number… [read post]
5 Mar 2024, 2:25 pm
The post Are You Currently Investing, or Would like to Invest, in Argentina? [read post]
26 Jan 2018, 3:47 pm
On December 13, 2017, an Arbitrator from the American Arbitration Association rendered an award totaling approximately $1,000,000 against Allegis Investment Advisors, LLC (“Allegis”). [read post]
