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28 Nov 2018, 4:15 pm
In August 2018, the sponsor of various private placement investment offerings including GPB Automotive Portfolio and GPB Holdings II, announced that it was not accepting any new investor capital, and furthermore, was suspending any redemptions of investor funds. [read post]
28 Oct 2009, 12:15 pm
The draft legislation would also introduce new recordkeeping and disclosure requirements for private advisers and increase the regulation of advisers to hedge funds, private equity firms and other private pools of capital. [read post]
25 Sep 2018, 7:35 am
Thereafter, since December 2015 Rosalia has been registered with Worden Capital out of the firm’s Melville, New York office location. [read post]
14 Mar 2011, 6:30 pm
The Financial Services Committee has received testimony regarding the role private equity firms play in preserving existing jobs and creating new ones by providing capital to struggling and growing companies. [read post]
10 Jun 2021, 2:10 am
If you have inaccurate, negative or a misleading Form U5 you may miss out on new opportunities, customers or employers in the financial services field. [read post]
5 Nov 2019, 4:53 am
In this webinar we will discuss the proposed approach to the prudential classification of investment firms and the new capital requirements methodology. [read post]
5 Nov 2019, 4:53 am
In this webinar we will discuss the proposed approach to the prudential classification of investment firms and the new capital requirements methodology. [read post]
8 Jul 2020, 7:42 am
He previously worked for Money Concepts Capital Corp (CRD# 12963), Chase Investment Services Corp (CRD# 25574), Banc One Securities Corporation (CRD# 16999), and Edward Jones (CRD# 250). [read post]
27 Aug 2019, 10:24 am
Faced with an ever-widening gap in access to legal services, a Utah task force has called for “profoundly reimagining the way legal services are regulated in order to harness the power of entrepreneurship, capital, and machine learning in the legal arena. [read post]
28 Mar 2010, 8:01 pm
Bracy states the good news is that there has yet to be an insolvency. [read post]
18 Aug 2013, 6:39 am
This post aims to assist in navigating the new European labyrinth by providing a snapshot of the three main European Directives that regulate remuneration: Capital Requirements Directive IV (CRD IV); Alternative Investment Fund Managers Directive (AIFMD); and fifth Undertakings for Collective Investment in Transferable Securities Directive (UCITS V). [read post]
19 Apr 2022, 10:11 am
FINRA has fined broker-dealers for mischaracterizing commission charges as handling service fees. [read post]
6 Feb 2024, 6:40 am
Creating the framework for savings into UK venture capital and small caps. [read post]
2 Nov 2021, 11:14 am
As a result, we filed a complaint alleging Capital One had violated the federal Electronic Funds Transfer Act (EFTA) along with New York’s general business laws. [read post]
17 Feb 2012, 4:18 am
New Article: Anthony Victor Alfieri, Jeanne Charn, Jeffrey Selbin & Stephen Wizner, Service Delivery, Resource Allocation and Access to Justice: Greiner and Pattanayak and the Research Imperative, SSRN. [read post]
12 Nov 2018, 8:19 am
athenahealth, Veritas Capital and Evergreen Coast Capital have announced that an affiliate of Veritas and Evergreen will acquire athenahealth for approximately $5.7 billion in cash. [read post]
12 Jul 2016, 5:00 am
At the same time, more money means a startup can bring in new talent, continue to develop products and services, and enter into new markets without being constantly worried about putting out financial fires that might previously have tipped them into insolvency. 2. [read post]
20 Aug 2018, 3:47 pm
Up to 60 brokerage firms have sold the GPB funds, including Advisor Group broker-dealers Sagepoint Financial Inc., FSC Securities Corp., Royal Alliance Associates, Inc., and Woodbury Financial Services Inc. [read post]
2 Sep 2021, 7:07 pm
It creates desperate people who’ll pin their hopes on demagogues’ empty promises, or celebrate their emperor’s new clothes. [read post]
23 Nov 2022, 8:47 am
Kain, based in New York and founded in 2014, is a private equity firm focused on investments in healthcare services and information technology companies. [read post]
