Search for: "Capital Management Securities"
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15 Feb 2024, 10:00 am
Much of life is managed digitally in this modern era. [read post]
14 Feb 2024, 10:39 am
Many hedge funds and other professional asset managers have structured their securities trading operations to rely on the trader exception. [read post]
13 Feb 2024, 9:05 pm
The Wall Street Journal reported that one of the trade groups challenging the SEC’s Private Fund rules – the National Association of Private Fund Managers (NAPFM) – was organized by two hedge funds (Millennium Management and HBK Capital Management) specifically to bring that challenge.[10] It would be a striking coincidence that the NAPFM was organized in Texas, in the Fifth Circuit. [read post]
13 Feb 2024, 9:01 pm
Of note, “stand-alone” GSDs not also registered as securities broker-dealers must also comply with rules adopted by the Treasury Department on, among others, capital and liquidity requirements, modeled on those applicable to broker-dealers. [read post]
13 Feb 2024, 9:09 am
Synopsis for Fund Managers The CTA provides an Exemption for each of: (i) an investment adviser registered with the Securities and Exchange Commission (the “SEC”) (an “RIA”); (ii) a fund manager that has filed as a venture capital fund adviser with the SEC (“VC Adviser”)[i]; (iii) an entity that is included as a “relying adviser” in an RIA’s Form ADV umbrella registration; and (iv) U.S. private funds that… [read post]
13 Feb 2024, 8:44 am
This group includes, but is not limited to, the following: Governmental authorities Public utilities companies Financial institutions such as banks and credit unions Securities brokers, dealers, exchanges, clearing agencies, and reporting issuers Investment companies and advisors, including venture capital fund advisers Accounting firms Certain entities that are tax-exempt under section 501(c) of the Internal Revenue Code Finally, those entities that are subsidiaries of… [read post]
10 Feb 2024, 4:16 am
With the fresh capital, CEO Sergey Demyanov plans to expand the engineering team to enhance and introduce new features. [read post]
9 Feb 2024, 8:59 am
LLC (NMIM) and Mason Street Advisors LLC (Mason Street) (collectively, Northwestern Mutual), agreed to pay a $16.5 million penalty; Guggenheim Securities LLC (Guggenheim Securities), together with Guggenheim Partners Investment Management LLC (GPIM) (collectively, Guggenheim), agreed to pay a $15 million penalty; Oppenheimer & Co. [read post]
8 Feb 2024, 9:01 pm
Securities and Exchange Commission, in Washington, D.C. [read post]
7 Feb 2024, 9:05 pm
The tokenisation of traditional debt and equity securities is an important growth area and promises enhanced liquidity and access to capital for many smaller and medium sized enterprises. [read post]
7 Feb 2024, 6:30 am
The company also announced that it had cut its quarterly dividend as part of an effort to shore up its capital. [read post]
5 Feb 2024, 4:46 pm
That, in turn moves European liberal democracy more closely to the sort of stakeholder model that has been suggested for the management of capital within its institutional organs. [read post]
5 Feb 2024, 2:05 pm
(CRD#:32460), also of Mooresville, and Allegiant Asset Management, L.L.C. [read post]
5 Feb 2024, 6:32 am
The challenged proposal is co-sponsored by Arjuna Capital, a sustainability-focused U.S. wealth management firm, and Follow This, an Amsterdam-based non-profit organized to force oil company shareholder votes on climate issues. [read post]
5 Feb 2024, 6:32 am
The challenged proposal is co-sponsored by Arjuna Capital, a sustainability-focused U.S. wealth management firm, and Follow This, an Amsterdam-based non-profit organized to force oil company shareholder votes on climate issues. [read post]
4 Feb 2024, 9:05 pm
Rather than “debt” or “equity,” maybe it should be called just capital. [read post]
4 Feb 2024, 9:01 pm
Public companies often use finance subsidiaries (which, in many cases, have no operations or employees) as capital raising vehicles. [read post]
3 Feb 2024, 5:26 pm
General Secretary Xi Jinping delivered an important speech when presiding over the study.Summary: General Secretary Xi Jinping emphasized that we must keep in mind that high-quality development is the last word in the new era, comprehensively implement the new development concept, accelerate the construction of a modern economic system, promote high-level scientific and technological self-reliance, accelerate the construction of a new development pattern, and coordinate the advancement of… [read post]
2 Feb 2024, 9:45 am
The Securities and Exchange Commission today announced that Brian Sewell and his company, Rockwell Capital Management, agreed to settle fraud charges in connection with a scheme that targeted students taking Sewell’s online crypto trading course known as…Read the Full Press Release Have a securities law question? [read post]
2 Feb 2024, 3:00 am
Cori Bush for allegedly misusing money intended for members of Congress to spend on private security. [read post]
