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7 Jun 2013, 3:02 pm
Saviano used his clients funds for personal expenses and to repay previous victims. [read post]
26 May 2013, 8:58 am
Just last year, a nationwide E. coli epidemic was attributed to pre-packaged, fresh-cut spinach packed for Dole Foods by Natural Selection Foods LLC, a California company that specializes in processing specialty lettuces, primarily spinach and spring mix. [read post]
24 May 2013, 10:09 am
Looking further to Supreme Court precedent in Janus Capital Group, Inc. v. [read post]
20 May 2013, 7:31 am
LLC and RBC Capital Markets LLC after the ambulance service business' $438 million sale to Warburg Pincus LLC two years ago. [read post]
17 May 2013, 10:56 am
True North Finance Corporation, f/k/a CS Financing Corporation, Capital Solutions Monthly Income Fund, LP, f/k/a Hennessey Financial Monthly Income Fund, LP, Capital Solutions Distributors, LLC, Capital Solutions Management, LP, Transactional Finance Fund Management, LLC, Todd A. [read post]
13 May 2013, 1:00 pm
While this form of compensation is fairly standard in the VC and hedge fund industries, some attorneys have previously (and I believe incorrectly) taken the position that when a carried interest is taken on a deal-by-deal basis (rather than as part of a pooled investment fund), it constitutes “transaction-based compensation” and thus activity requiring broker-dealer registration. [read post]
10 May 2013, 8:59 pm
The conspirators intentionally and fraudulently concealed these cash payments from the lenders through the use of a shell company called Capital Property Investments, LLC. [read post]
7 May 2013, 2:05 pm
District Court for the Southern District of New York reinstated previously dismissed claims in two class actions brought by several pension fund plaintiffs against Royal Bank of Scotland Group PLC and Residential Capital LLC, among others. [read post]
3 May 2013, 12:51 pm
Athena Premium Funding is a Florida imitated liability company that raised capital through promissory note offerings. [read post]
2 May 2013, 10:00 am
Giammarco, Esq., Chief Compliance Officer, Stone Point Capital Stephen Pope, East Regional Sales Manager, Smarsh Shawn Pride, Partner, Ernst & Young LLP Arthur Zuckerman, Chief Operating Officer, Chief Compliance Officer & Partner, Avista Capital Partners Ensuring compliance in your marketing and solicitation procedures Paula Bosco, Managing Director, Chief Regulatory Counsel & CCO, New Mountain Capital, LLC Abrielle Rosenthal, Senior Principal &… [read post]
2 May 2013, 10:00 am
Giammarco, Esq., Chief Compliance Officer, Stone Point Capital Stephen Pope, East Regional Sales Manager, Smarsh Shawn Pride, Partner, Ernst & Young LLP Arthur Zuckerman, Chief Operating Officer, Chief Compliance Officer & Partner, Avista Capital Partners Ensuring compliance in your marketing and solicitation procedures Paula Bosco, Managing Director, Chief Regulatory Counsel & CCO, New Mountain Capital, LLC Abrielle Rosenthal, Senior Principal &… [read post]
2 May 2013, 9:08 am
Paula Bosco, Managing Director, Chief Regulatory Counsel & CCO, New Mountain Capital, LLCAbrielle Rosenthal, Senior Principal & Senior Compliance Counsel, TowerBrook Capital Partners L.P. [read post]
2 May 2013, 9:08 am
Paula Bosco, Managing Director, Chief Regulatory Counsel & CCO, New Mountain Capital, LLCAbrielle Rosenthal, Senior Principal & Senior Compliance Counsel, TowerBrook Capital Partners L.P. [read post]
2 May 2013, 5:09 am
Ghufran Rizvi, COO of Standard Pacific Capital, LLC in San Francisco agrees, “I have known Ms. [read post]
1 May 2013, 12:07 pm
Halfenger, Chief Compliance Officer, Bain Capital LLCGreg Pusch, SVP, Director of Global Regulatory Compliance & CCO, HarbourVest Partners, LLC The US loaded up funds with the new regulatory framework imposed by Dodd-Frank. [read post]
1 May 2013, 12:07 pm
Halfenger, Chief Compliance Officer, Bain Capital LLCGreg Pusch, SVP, Director of Global Regulatory Compliance & CCO, HarbourVest Partners, LLC The US loaded up funds with the new regulatory framework imposed by Dodd-Frank. [read post]
1 May 2013, 9:56 am
These are my notes from the Private Fund Compliance Forum 2013. [read post]
1 May 2013, 9:56 am
These are my notes from the Private Fund Compliance Forum 2013. [read post]
1 May 2013, 9:01 am
Brian Kawakami, Partner, Ascendant Compliance ManagementCharles Lerner, Principal, Fiduciary Compliance Associates LLC, and Editor, The US Private Equity Fund Compliance Guide and The US Private Equity Fund Compliance CompanionJim O’Connor, Chief Compliance Officer, Golden Gate Capital Rule 206(4)-7 specifically requires an annual review of the compliance program. [read post]
1 May 2013, 9:01 am
Brian Kawakami, Partner, Ascendant Compliance ManagementCharles Lerner, Principal, Fiduciary Compliance Associates LLC, and Editor, The US Private Equity Fund Compliance Guide and The US Private Equity Fund Compliance CompanionJim O’Connor, Chief Compliance Officer, Golden Gate Capital Rule 206(4)-7 specifically requires an annual review of the compliance program. [read post]
