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26 Mar 2011, 6:49 am
Lee submitted a loss notice to his agent, Breeden Insurance and Breeden forwarded the loss notice to "AUM", who forwarded it to Catlin. [read post]
4 Oct 2010, 2:01 am
§§404 and 406: Propose (jointly with the CFTC for dual-registered investment advisers) rules to implement reporting obligations on investment advisers related to the assessment of systemic risk Investment managers with a large amount of AUM will likely be subject to increased reporting requirements to the SEC. [read post]
11 Jan 2010, 1:42 am
Such information requested includes: nominal AUM, forex account information, number of accounts trading Securities Futures Products (SFPs)*, most recent disclosure document date, whether any exemptions exist, types of investors, etc. * A securities futures contract is a legally binding agreement between two parties to purchase or sell in the future a specific quantity of shares of a single equity security or narrow-based securities Index (e.g. products traded on One… [read post]
28 May 2010, 2:57 pm
I expected that we would hear more, especially with regard to the following issues: Section 407 - Exemption of VC Funds Section 408 - Exemption from Reporting Requirements for Private Equity Funds Section 410 - State Authority for Managers with AUM of up $100MM (this is generally a bad idea in my opinion and we will be writing a post about this soon…) Section 412 - Adjusting Definition of Accredited Investor (see also below) I imagine we will hear more as the Senate and House… [read post]
22 Oct 2019, 9:51 am
Using this data, we came up with a list of the top Louisiana registered investment advisers by assets under management (“AUM”) and by number of accounts. [read post]
11 Aug 2009, 2:39 pm
Other related hedge fund law articles include: Series 79 Exam Approved Obama Moves Forward with Hedge Fund Registration Legislation Hedge Funds and Investors: June 2009 Hedge Funds with $25MM of AUM to Register Under Commissioner Aguilar's Plan Private Fund Transparency Act of 2009 Text of Statute Obama's New Hedge Fund Regulation Plan Private Fund Transparency Act of 2009 Hedge Fund Bart Mallon, Esq. runs hedge fund law blog and has written most all of the articles which… [read post]
14 May 2025, 7:33 am
. ********************** The global private credit market has experienced significant growth over the past two years, reaching approximately $3 trillion in assets under management (AUM) by late 2024, up from around $1.7 trillion at the end of 2023. [read post]
15 Nov 2009, 5:43 pm
 With the Private Fund Investment Advisers Registration Act likely to be passed within the next year, managers with a certain amount of AUM (either $100 million or $150 million as it now stands) will be forced to register with the SEC. [read post]
17 Jan 2020, 11:11 am
The SEC reports that it supervises 13,475 advisers with AUM of $84 trillion. [read post]
5 Aug 2024, 9:05 pm
At the end of the first quarter of 2024, BlackRock’s assets under management (AUM)accounted for $10.5 trillion, while Vanguard and State Street held $9.3 trillion and $4.3 trillion, respectively. [read post]
4 Apr 2023, 7:27 am
In 2023, Oakley raised a record €2.85 billion for Oakley Capital Fund V, bringing their total AUM to €8 billion. [read post]
1 Apr 2009, 1:49 pm
While many managers are happy to attend to their trading strategies and risk management procedures, the managers who will be able to grow their AUM most successfully in the coming years are those managers who focus on many of the business and operational issues which investors are now wholly concerned with. [read post]
18 May 2022, 4:00 am
Société d’investissements Rhéaume ltée, 2021 QCCA 1363 [85] Le champ d’application de l’obligation de renseignement est vaste : cette obligation « englobe toute information déterminante pour une partie à un contrat »[111]. [86] Les critères généraux de l’obligation de renseignement sont établis par l’arrêt Bail : (1) la connaissance, réelle ou présumée,… [read post]
11 Oct 2011, 2:37 am
Below are some of my thoughts when I read through these deficiencies: Properly completing ADV, including proper descriptions (AUM, fees, business overview, disclosures) and making sure there are no inconsistencies; unregistered IAs were not a large part of the deficiencies. [read post]
22 Oct 2019, 9:51 am
Using this data, we came up with a list of the top Louisiana registered investment advisers by assets under management (“AUM”) and by number of accounts. [read post]
13 Aug 2010, 9:21 am
These records include AUM, the use of leverage, counterparty credit risk exposure, trading and investment positions, valuation policies, side arrangements or side letters, trading practices, and any other subjects that the SEC, in consultation with the Financial Stability Oversight Council, deems necessary for the public interest, investor protection or the assessment of systemic risk. [read post]
27 Apr 2017, 10:13 am
Below is our quarterly update which went out via email today to our firm’s clients and friends. [read post]
26 Oct 2014, 7:08 pm
www.colefrieman.com October 23, 2014 Clients and Friends: It has already been a busy fourth quarter, but we would like to take this opportunity to provide you with a brief overview of some of the legal, business and regulatory updates from the third quarter. [read post]
4 Jan 2017, 3:55 pm
www.colefrieman.com January 4, 2016 Clients, Friends, Associates:While the holiday season is a cause for celebration and reflection, it is also the busiest time of the year for most investment managers. [read post]
5 Jan 2015, 3:31 pm
www.colefrieman.com December 29, 2014 Clients, Friends, Associates: December is the busiest month of the year for most private fund managers. [read post]
