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11 Feb 2015, 3:22 pm
Securities and Exchange Commission (“SEC”). [read post]
11 Feb 2015, 7:04 am
Thereafter, in early 2011, he co-founded the Prestige Fund and was the Fund’s Chief Investment Officer and sole portfolio manager. [read post]
3 Feb 2015, 6:42 am
F-Squared –builds mutual fund portfolios consisting of exchange traded funds (ETFs) for the Virtus mutual funds. [read post]
30 Jan 2015, 8:11 pm
;--Tahoe Resources Inc. [read post]
6 Jan 2015, 9:09 am
Two pension funds were shareholders in exchange-traded funds issued by iShares, Inc. and iShares Trust (iShares), whose revenue came largely from lending its securities holdings to various borrowers. [read post]
5 Jan 2015, 6:22 am
F-Squared –builds mutual fund portfolios consisting of exchange traded funds (ETFs) for the Virtus mutual funds. [read post]
15 Nov 2014, 8:23 am
Gemini was known for selling real estate investments known as tenant-in-common exchanges (TICs). [read post]
11 Nov 2014, 6:02 am
Gana LLP recently filed a claim against Legend Securities, Inc. [read post]
15 Oct 2014, 6:34 am
Sharp was associated with Ameriprise Financial Services, Inc. [read post]
6 Oct 2014, 7:03 am
The SEC is looking into the practice by which clients pay an annual or quarterly fee for wrap products that manage a portfolio of investments. [read post]
1 Oct 2014, 6:26 am
Furthermore, all brokers must recommend the purchase, sale or exchange of securities that are reasonable given the customers investment objectives and risk tolerances. [read post]
23 Sep 2014, 2:01 pm
On September 22, 2014, the Securities and Exchange Commission (the “SEC”) charged private equity fund adviser, Lincolnshire Management, Inc. [read post]
23 Sep 2014, 7:00 am
The Securities and Exchange Commission has been making lots of noise about how its unhappy with how private equity firms are allocating expenses to portfolio companies. [read post]
16 Sep 2014, 8:36 pm
Employees make contributions into the plan, which are invested in a portfolio by the plan manager. [read post]
3 Sep 2014, 4:14 am
The Delaware Supreme Court stirred up quite a bit of controversy earlier this year in the ATP Tours, Inc. v. [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]
9 Aug 2014, 8:16 am
It focuses specifically on the effects of IFI leadership in shaping SWF organization and operation in developing states as it might relate, generally, to the broad governance themes of climate change, corporate governance of portfolio companies, environmental protection, ethical investing, global financial regulation, human rights, regulation of SWFs, renewable energy and sustainable development.[32] Part II briefly sketches the IFI’s interest in and approach to SWFs as a… [read post]
25 Jul 2014, 4:18 pm
San Juan Asset Management, Inc., 2014 WL 3360698 (1st Cir. [read post]
18 Jul 2014, 10:40 am
The letter clarifies the conditions under which a CPO otherwise required to register (“Delegating CPO”) may delegate its CPO functions to another CPO (“Designated CPO”) and be relieved from a registration requirement under Section 4m(1) of the Commodity Exchange Act (the “CEA”). [read post]
22 Apr 2014, 8:22 am
LEAF Asset Management, LLC is a wholly-owned subsidiary of Resource America, Inc., a company that specializes in developing investment funds for outside investors and providing asset management services either by contract or by acting as the manager or general partner of its own sponsored investment funds. [read post]
