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21 May 2024, 9:01 pm
Recommendations The kinds of recommendations that are the subject of the Final Rule’s test track the three categories the DOL had included in its Proposal: Post-Rollover Investments – Recommendations as to the advisability of acquiring, holding, disposing of, or exchanging, securities or other investment property, as to investment strategy, or as to how securities or other investment property should be invested after the… [read post]
12 Aug 2022, 6:34 am
” “Some of the deals Kirkland has invested in alongside clients include taking stakes in Blackstone Inc. [read post]
19 Nov 2018, 4:01 am
Securities and Exchange Commission (SEC) earlier this year. [read post]
18 Jul 2011, 2:00 am
” A venture capital fund is a private fund that (1) holds no more than 20 percent of its aggregate capital commitments (other than short-term holdings) in non-qualifying investments; (2) does not borrow or otherwise incur leverage, other than by engaging in limited short-term borrowings (excluding certain guarantees of qualifying portfolio company obligations by the fund); (3) does not offer its investors redemption or other similar liquidity rights except in extraordinary… [read post]
22 Jun 2011, 12:22 pm
In March 2007, when adverse market conditions began to affect the fund, over 54 percent of the portfolio was invested in asset-backed and mortgage-backed securities, and 13.5 percent was invested in subprime products. [read post]
25 Feb 2011, 1:32 pm
It comes just a week after the consulting firm Mercer issued a new study warning that climate change could increase investment portfolio risk by 10 percent over the next 20 years. [read post]
8 Jul 2019, 4:48 pm
As a public company with a permanent capital base, Capital Southwest has the flexibility to be creative in its financing solutions and to invest to support the growth of its portfolio companies over long periods of time. [read post]
25 Jul 2019, 3:00 am
Here’s an excerpt from the SEC’s press release: The Securities and Exchange Commission today announced charges against Facebook Inc. for making misleading disclosures regarding the risk of misuse of Facebook user data. [read post]
18 Mar 2019, 11:17 am
(CRD #25766, Parsippany, New Jersey) Without admitting or denying the findings, the firm consented to the sanctions and to the entry of findings that its brokers recommended early exchanges of proprietary Unit Investment Trusts (UITs) in the same series (a series-to-series switch) in customer accounts that had substantially similar investment objectives and portfolios. [read post]
3 May 2021, 9:05 pm
Consider the $300 million in fees Chinese e-commerce behemoth Alibaba paid its underwriters—Citigroup, Inc., Credit Suisse Group AG, Deutsche Bank, Goldman Sachs Group, Inc. and JPMorgan Chase Co. [read post]
16 May 2024, 9:43 am
For instance, the SEC recently settled charges with investment advisers Delphia (USA) Inc. and Global Predictions Inc for allegations that the firms made false and misleading statements about their use of AI. [read post]
3 Sep 2014, 1:57 am
“In order to build up a strong patent portfolio, they will also invest a lot in third-party R&D, including working with universities and research institutions in China, acquiring innovations, and so on. [read post]
5 Oct 2023, 10:09 am
Anesthesia Partners, Inc. [read post]
5 Oct 2023, 9:22 am
Anesthesia Partners, Inc. [read post]
14 May 2019, 3:00 pm
The Securities and Exchange Commission brought cases against two robo-advisers. [read post]
24 Sep 2010, 7:00 am
Dell Inc., Michael S. [read post]
21 Jun 2022, 1:21 pm
The turnover rate represents the number of times in one year that a portfolio of securities is exchanged for another portfolio of securities. [read post]
22 Apr 2024, 1:11 pm
For example, in In re GoHealth, Inc. [read post]
13 Feb 2023, 5:59 am
(“Chicago Pacific”), which controlled P3, as a portfolio company, along with Sameer Mathur, one of Chicago Pacific’s principals who oversaw Chicago Pacific’s investment in P3. [read post]
12 Mar 2013, 10:24 pm
Recently India, Inc. saw as many as 340 independent directors resigning from their positions fearing that their reputation might be at stake if the company fails to live up to investor expectations. [read post]
