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4 Dec 2013, 9:07 am
Below is our end of the year update and checklist. [read post]
27 Apr 2011, 7:29 pm
An Exempt Reporting Adviser is a fund manager which is not registered with the SEC becasue the manager has less than $150M of AUM. [read post]
25 Sep 2024, 9:01 pm
The final rule defines the term “investment adviser” to include certain Securities and Exchange Commission (SEC) registered investment advisers (RIAs) and exempt reporting advisers (ERAs).[1] However, FinCEN has narrowed the definition of “investment adviser” as used in the final rule to exclude (1) RIAs that register with the SEC solely because they are mid-sized advisers, multi-state advisers, or pension consultants and (2) RIAs that are not required to report any assets… [read post]
12 Oct 2009, 3:23 pm
The specific goals regarding hedge funds are as follows: Data collection SEC should conduct regular, periodic examinations of hedge funds Reporting AUM and other fund metrics to the SEC SEC would have ability to assess whether the fund or fund family is so large, highly leveraged, or interconnected that it poses a threat to financial stability How will IT Departments have to help keep the funds within regulation rules? [read post]
5 Oct 2011, 2:26 am
The capital raising environment is tougher than ever and risk based managed accounts allow managers to grow their AUM without giving up a piece of their business to a seeder or accelerator. [read post]
30 Jan 2025, 1:32 pm
The firm reportedly has $163 million in assets under management (AUM), as of March 2024. [read post]
4 Jun 2012, 10:30 am
From 30 June, the MGDF, renamed the Prival Bond Fund after amendments, had $33m AUM and distributes dividends monthly to investors. [read post]
9 Oct 2009, 1:51 am
http://www.hedgefundlawblog.com Please see below an article contributed to our website by Strategic Asset Management, a full service hedge fund administration firm providing accounting, tax, administration, compliance, web creation and marketing materials to hedge funds. **** Strategic Asset Management frequently introduces their clients to Fund of Funds seeking high quality investments and has first hand experience in the process of successfully pitching to Fund of Fund Managers. [read post]
28 Mar 2009, 2:35 pm
I felt compelled to read Tacker LeCarpentier's February 16, 2009 article in North Carolina Lawyers Weekly after the NSSTA posted a link and "belated kudos" on its website referring to the article as "perceptive". [read post]
29 Aug 2023, 8:10 am
Pix Credit © LC Backer August 2'23This from Robert McCorquodale of the UN Working Group for Business and Human Rights:The Working Group on Business and Human Rights is beginning to draft a report on Investors, ESG and Human Rights. [read post]
28 Jan 2021, 7:27 pm
The Geneva Center for Business and Human Rights and the Löning Consultancy have recently released a report: How are European financial institutions addressing human rights in their activities? [read post]
2 Nov 2021, 8:49 am
ARGENTINA On 12 September 2021, President Alberto Fernández’s Justicialist party suffered significant losses in Argentina’s midterm primaries. [read post]
31 Dec 2023, 4:00 am
Société d’investissements Rhéaume ltée, 2021 QCCA 1363; 2023 SCC 25 (39931) Each of the three criteria set out in Bail (paras. [read post]
13 May 2010, 2:49 am
Roughly speaking, a UCITS Management Company needs to have 125,000 EUR of capital as a minimum plus 2 basis points per EUR of AUM over 250 million. [read post]
22 May 2022, 4:00 am
One Sunday each month we bring you a summary from Supreme Advocacy LLP of recent decisions at the Supreme Court of Canada. [read post]
2 Oct 2024, 2:47 pm
Approximately half of the Fund’s AUM from early to mid-November 2022 was lost in the FTX collapse. [read post]
26 Jun 2010, 4:59 pm
Additionally, investment advisers who were previously subject to SEC jurisdiction (i.e. mangers with AUM of $30 million to $100 million) will now become subject to state regulation (for more on this terrible idea, please see my article on overburdened state securities divisions). [read post]
4 Feb 2016, 4:00 am
Each Thursday we present a significant excerpt, usually from a recently published book or journal article. [read post]
