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House Panel Holds Hearings on Bills to Reduce Impediments to Capital Formation; Possible JOBS Act II
29 Oct 2013, 7:15 am
Mick Mulvaney (R-SC), H.R. 1973, the Business Development Company Modernization Act would amend Section 2(a)(46)(B) and Section 60 of the Investment Company Act to allow BDCs to purchase, acquire, or hold securities or other interests in the business of registered investment advisers, advisors to investment companies, and other “eligible portfolio companies” as defined in the Investment Company Act, including certain financial services companies. [read post]
19 Mar 2009, 5:00 am
Whether market oversight and retail financial services can be so readily divided is not at all clear. [read post]
4 Feb 2016, 2:26 pm
” Ultimately, there will be a continued focus on elder abuse an exploitation in the financial services industry this year and into the foreseeable future. [read post]
10 Jun 2022, 6:33 am
The SEC’s Cyber Disclosures Posted by Shiva Rajgopal (Columbia University) and Alex Sharpe (Sharpe Consulting LLC), on Friday, June 3, 2022 Tags: Cybersecurity, Ransomware, Risk, Risk disclosure, SEC, SEC rulemaking, Securities regulation CEO Pay Proposals Face Growing Investor Disapproval Posted by Subodh Mishra, Institutional Shareholder Services, Inc., on Friday, June 3, 2022 Tags: Executive Compensation, Institutional… [read post]
10 Jun 2022, 6:33 am
The SEC’s Cyber Disclosures Posted by Shiva Rajgopal (Columbia University) and Alex Sharpe (Sharpe Consulting LLC), on Friday, June 3, 2022 Tags: Cybersecurity, Ransomware, Risk, Risk disclosure, SEC, SEC rulemaking, Securities regulation CEO Pay Proposals Face Growing Investor Disapproval Posted by Subodh Mishra, Institutional Shareholder Services, Inc., on Friday, June 3, 2022 Tags: Executive Compensation, Institutional… [read post]
19 Sep 2013, 7:15 am
Working with their outside legal advisors and accounting firms, funds must document that their tax treatment of derivatives will be sustained upon examination, based on a more-likely-than-not standard. [read post]
31 Oct 2009, 2:49 am
Advisors who help to set up offshore accounts would be required to disclose their activities or pay a penalty. [read post]
8 Dec 2021, 8:02 am
His practice focuses broadly on SEC regulated financial service clients, including broker-dealers, securities exchanges, municipal advisors and investment advisers. [read post]
5 Sep 2014, 8:37 am
Practice Areas INVESTORS FINANCIAL ADVISORS BROKERAGE FIRMS GENERAL LITIGATION The post West Palm Beach Investment Fraud Attorneys – Jacobson Law, P.A. appeared first on PaperStreet [read post]
31 Oct 2009, 2:49 am
Advisors who help to set up offshore accounts would be required to disclose their activities or pay a penalty. [read post]
9 Sep 2021, 8:42 am
His practice focuses broadly on SEC regulated financial service clients, including broker-dealers, securities exchanges, municipal advisors and investment advisers. [read post]
25 Nov 2021, 3:54 am
In this episode of RT Plus, Jonathan Herbst (Global Head of Financial Services) and Anna Carrier (Senior Government and Regulatory Affairs Advisor) discuss various aspects of the bonds and derivatives regime that are currently under review, including pre and post trade transparency and potential changes to the derivatives trading obligation. [read post]
7 Dec 2022, 1:30 pm
Kierkut is a seasoned litigator and advisor to national and international clients in the pharmaceutical, medical device, financial services, hospitality, and health care industries, among others. [read post]
24 Jan 2020, 5:18 am
Our regulatory practice group assists financial service providers with complex issues that arise in the course of their business, including compliance with federal and state laws and rules. [read post]
4 Oct 2013, 6:30 am
Worker Advisor Office Changes A Serious Injury Support Worker position has been created at the Worker Advisor Office. [read post]
18 Feb 2020, 11:49 am
” Kenyon Group, LLC served as the exclusive financial advisor to IGS and arranged this transaction. [read post]
12 Dec 2007, 7:40 am
"We believe that, at minimum, four members of the IASB should be drawn from the ranks of pension fund investment advisors, equity security financial analysts … or other users of financial reports," Mahoney wrote. [read post]
8 Aug 2018, 5:00 am
In particular, IAA recommends the position previously taken by the SEC that discretionary investment advice should not be deemed solely incidental to brokerage services. [read post]
7 Aug 2009, 11:18 am
The Compensation Committee will expressly have the authority to retain and direct the services of compensation consultants and/or other advisors including independent legal counsel. [read post]
23 Jul 2018, 11:09 am
Variable annuities are high sales commission products for financial advisors and sometimes advisors push these products on persons who do not need them or cannot benefit from them. [read post]
