Search for: "Security Funding Company "
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13 Dec 2006, 5:05 am
Federal regulators sued a hedge fund manager in Dallas on Tuesday, accusing him of making more than $6.5 million through illegal trading involving "naked" short sales of dozens of companies. [read post]
30 Aug 2005, 12:11 pm
[JURIST] Leading Tuesday's corporations and securities law news, the Arizona Attorney General's office [official website] has announced that $101 million it seized earlier this year may belong to failed hedge fund company Bayou Management. [read post]
2 Jan 2008, 3:51 pm
., practitioners from three major hedge funds gave a fascinating talk on the complex legal matters facing funds that take activist positions in publicly traded companies. [read post]
1 Mar 2011, 8:40 am
SEC-registered investment companies, ERISA plans and funds regulated under the EU UCITS Directive should not be regulated as major swap participants and major security-based swap participants under SEC and CFTC rules implementing the Dodd-Frank derivatives provisions, in the view of the Securities Industry and Financial Markets Association. [read post]
4 Feb 2013, 12:16 am
For example, in its 2010 study of securities class action litigation in Australia (refer here), NERA Economic Consulting identified the emergence of litigation funding as the most significant development behind the increase in securities class action litigation that country. [read post]
4 Mar 2019, 9:31 am
The post Criminal Securities Fraud Cases Including Startup Company Charged in $48M Fraud appeared first on Securities Fraud Attorney. [read post]
4 Jan 2023, 6:30 am
The European Securities and Markets Authority proposes to restrict ESG- and sustainability-related terms in the naming of funds, with an eye on the US and UK fund naming regimes. [read post]
4 Jan 2023, 6:30 am
The European Securities and Markets Authority proposes to restrict ESG- and sustainability-related terms in the naming of funds, with an eye on the US and UK fund naming regimes. [read post]
27 Oct 2021, 10:00 pm
The Division of Examinations staff of the US Securities and Exchange Commission (SEC) published a risk alert on October 26, 2021, titled “Observations from Examinations in the Registered Investment Company Initiatives,” which summarized the observations of the staff coming out of a series of examinations from 2018 and 2019 that focused on mutual funds and exchange-traded funds (ETFs) and, specifically, on certain compliance areas that may impact retail… [read post]
27 Oct 2021, 10:00 pm
The Division of Examinations staff of the US Securities and Exchange Commission (SEC) published a risk alert on October 26, 2021, titled “Observations from Examinations in the Registered Investment Company Initiatives,” which summarized the observations of the staff coming out of a series of examinations from 2018 and 2019 that focused on mutual funds and exchange-traded funds (ETFs) and, specifically, on certain compliance areas that may impact retail… [read post]
27 Oct 2021, 10:00 pm
The Division of Examinations staff of the US Securities and Exchange Commission (SEC) published a risk alert on October 26, 2021, titled “Observations from Examinations in the Registered Investment Company Initiatives,” which summarized the observations of the staff coming out of a series of examinations from 2018 and 2019 that focused on mutual funds and exchange-traded funds (ETFs) and, specifically, on certain compliance areas that may impact retail… [read post]
27 Oct 2021, 10:00 pm
The Division of Examinations staff of the US Securities and Exchange Commission (SEC) published a risk alert on October 26, 2021, titled “Observations from Examinations in the Registered Investment Company Initiatives,” which summarized the observations of the staff coming out of a series of examinations from 2018 and 2019 that focused on mutual funds and exchange-traded funds (ETFs) and, specifically, on certain compliance areas that may impact retail… [read post]
27 Oct 2021, 10:00 pm
The Division of Examinations staff of the US Securities and Exchange Commission (SEC) published a risk alert on October 26, 2021, titled “Observations from Examinations in the Registered Investment Company Initiatives,” which summarized the observations of the staff coming out of a series of examinations from 2018 and 2019 that focused on mutual funds and exchange-traded funds (ETFs) and, specifically, on certain compliance areas that may impact retail… [read post]
27 Oct 2021, 10:00 pm
The Division of Examinations staff of the US Securities and Exchange Commission (SEC) published a risk alert on October 26, 2021, titled “Observations from Examinations in the Registered Investment Company Initiatives,” which summarized the observations of the staff coming out of a series of examinations from 2018 and 2019 that focused on mutual funds and exchange-traded funds (ETFs) and, specifically, on certain compliance areas that may impact retail… [read post]
24 May 2022, 7:14 am
These companies go through an IPO to raise the needed funds a merger or acquisition with a company to be identified later. [read post]
3 Nov 2020, 10:00 pm
On October 28, 2020, the US Securities and Exchange Commission voted 3–2 to adopt Rule 18f-4 under the Investment Company Act of 1940, which will replace decades-old SEC and staff guidance with an updated, comprehensive framework for registered funds’ use of derivatives. [read post]
3 Nov 2020, 10:00 pm
On October 28, 2020, the US Securities and Exchange Commission voted 3–2 to adopt Rule 18f-4 under the Investment Company Act of 1940, which will replace decades-old SEC and staff guidance with an updated, comprehensive framework for registered funds’ use of derivatives. [read post]
3 Nov 2020, 10:00 pm
On October 28, 2020, the US Securities and Exchange Commission voted 3–2 to adopt Rule 18f-4 under the Investment Company Act of 1940, which will replace decades-old SEC and staff guidance with an updated, comprehensive framework for registered funds’ use of derivatives. [read post]
3 Nov 2020, 10:00 pm
On October 28, 2020, the US Securities and Exchange Commission voted 3–2 to adopt Rule 18f-4 under the Investment Company Act of 1940, which will replace decades-old SEC and staff guidance with an updated, comprehensive framework for registered funds’ use of derivatives. [read post]
3 Nov 2020, 10:00 pm
On October 28, 2020, the US Securities and Exchange Commission voted 3–2 to adopt Rule 18f-4 under the Investment Company Act of 1940, which will replace decades-old SEC and staff guidance with an updated, comprehensive framework for registered funds’ use of derivatives. [read post]
