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31 Mar 2023, 10:32 am
In addition, US private funds 2 are generally not considered to be subject to the Form BE-12 reporting requirement for US affiliates (i.e., a US private fund with a foreign parent) unless the foreign parent, through the fund, indirectly holds a 10% or greater interest in a US operating business. [read post]
3 Jan 2012, 6:15 am
It did not prepare financial statements or file tax returns. [read post]
11 May 2023, 9:01 pm
Myriad other markets and financial products are priced off of Treasuries. [read post]
19 Dec 2011, 6:25 am
Madoff Securities LLC (Madoff). [read post]
31 Aug 2023, 3:55 am
According to reports, one-time lawyer Rudy Giuliani had issues with affording to fund his criminal defense in Georgia, assuming he can find a lawyer willing to represent him. [read post]
28 Jul 2020, 1:59 pm
The use of the appraisal arbitrage by hedge funds or private equity funds is believed to be the reason behind the rapid increase in the number of complaints up to 2016[iii]. [read post]
31 Mar 2017, 6:03 am
McIntosh, Wachtell Lipton Rosen & Katz, on Friday, March 24, 2017 Tags: Board communication, Boards of Directors, Engagement, Firm performance, Fund managers, Hedge funds, Institutional Investors, Management, Market conditions, Shareholder activism, Target firms New York Cybersecurity Regulations for Financial Institutions Enter Into Effect Posted by Michael Krimminger, Cleary Gottlieb Steen & Hamilton LLP, on Saturday, March 25, 2017 Tags: Accounting, Banks,… [read post]
17 Jul 2023, 8:49 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Seattle, Washington. [read post]
29 Jul 2020, 4:31 pm
According to the complaint, Marnell submitted fraudulent PPP loan applications on behalf of at least four different LLCs, under a variety of aliases, to several financial institutions for over $10 million. [read post]
13 Oct 2010, 8:46 am
FMR LLC that the Sarbanes-Oxley whistleblower protections apply to employees of private investment firms that operate and advise mutual funds. [read post]
3 Jul 2013, 2:55 pm
For fund managers, it remains to be seen whether Regulation A+ might challenge the predominant practice of relying on the exemption “safe harbor” under Rule 506 of Regulation D of the Securities Act of 1933. [read post]
1 May 2020, 6:02 am
Securities and Exchange Commission, on Wednesday, April 29, 2020 Tags: Accounting, Accounting standards, Audits, China, Disclosure, Emerging markets, Financial reporting, International governance, Investor protection, Risk, Securities enforcement, Securities regulation Stakeholder Principles in the COVID Era Posted by Klaus Schwab, Brian Moynihan, Feike Sijbesma and Jim Snabe, World Economic… [read post]
30 Oct 2020, 9:13 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Franklin, Tennessee. [read post]
15 Apr 2022, 4:00 am
National/Federal Before Giving Billions to Jared Kushner, Saudi Investment Fund Had Big Doubts Yahoo News – David Kirkpatrick and Kate Kelly (New York Times) | Published: 4/10/2022 Six months after leaving the White House, Jared Kushner secured a $2 billion investment from a fund led by the Saudi crown prince, a close ally during the Trump administration, despite objections from the fund’s advisers about the merits of the deal. [read post]
13 Dec 2013, 7:52 am
In May 2006, a JFA associated entity, DDL LLC, and Freed Illinois Holdings LLC entered into agreements with the bank consortium, now led by Bank of America, for a revolving line of credit up to $150 million. [read post]
3 Feb 2016, 7:27 am
The findings also stated that the firm reported municipal securities transactions to the MSRB in an untimely manner, failed to conduct supervisory reviews of MSRB Report Cards, and failed to designate a registered principal with responsibility to conduct supervisory reviews of the firm’s reporting of municipal securities transactions.Wells Fargo Securities, LLC. [read post]
27 May 2010, 2:15 pm
Page Perry LLC, is based in Atlanta but represents investors in securities arbitrations and lawsuits all over the country. [read post]
8 Sep 2020, 7:30 am
The SEC requires U.S. companies to provide financial statements to mitigate market manipulation. [read post]
25 Feb 2012, 3:13 pm
• Make sure you are told how the distribution is being funded and whether part of that is the return of investor capital. [read post]
22 Apr 2021, 6:48 am
From 2000 through 2002, Campbell was registered with Northwestern Mutual Investment Services, LLC. [read post]
