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30 Apr 2014, 6:24 am
Lim relayed Choi's information to a fellow poker player Danny Kuo, who was a hedge fund manager at Whittier Trust Company. [read post]
17 Dec 2008, 10:45 pm
 Indeed, through September the fund was selling CDSs on troubled companies including Lehman Brothers Holdings, American International Group, General Motors Corp. and newspaper company Tribune. [read post]
14 Jan 2016, 11:58 am
The Fund invests in U.S. and foreign companies that are involved in the precious metals sector, including exploration, mining, production and development, and other precious metals-related services. [read post]
12 Feb 2022, 8:00 am
Acknowledging the gravity of cybersecurity threats to investment advisers and funds, and by extension their tens of millions of clients and trillions of dollars of assets under management, the Securities and Exchange Commission [on Feb. 9, 2022] proposed rules under the Investment Advisers Act of 1940 and the Investment Company Act of 1940 pertaining to cybersecurity risk management by registered investment advisers (“RIAs”) and investment companies… [read post]
13 Jan 2004, 8:59 am
In Tuesday's corporations and securities law news, SEC official said today that they is investigating 8 brokerage firms and 12 mutual fund companies for failing to disclose incentives that may have influenced advice to investors. [read post]
30 Nov 2023, 9:55 am
Here are some commonly used tactics: Within the Same Fund Family: Mutual fund switching usually involves transferring assets from one mutual fund to another within the same fund family or investment company. [read post]
5 Aug 2020, 8:47 am
Our south Florida securities and investment fraud attorneys are investigating claims on behalf of investors in PAR Funding and related companies. [read post]
22 Mar 2010, 5:20 am
The issue of the role of Mutual Funds in Corporate Governance of listed companies was considered by the Mutual Fund Advisory Committee. [read post]
18 Oct 2011, 3:19 am
Prepare and file Form N-1A with the SEC to simultaneously register the fund as an investment company under the Investment Company Act of 1940 (’40 Act) and register fund shares under the Securities Act of 1933. [read post]
28 Aug 2023, 7:36 am
HE CAN BE REACHED AT JEFF@JEFFNEWMANLAW.COM OR AT 617-823-3217 The post 3M pays SEC more than $6.5 million for funding tourist excursions to U.S. and Australia for Chinese officials of state owned companies appeared first on Jeff Newman Law. [read post]
8 Sep 2015, 8:32 am
Exchange-traded funds (ETF) are registered investment companies whose shares comprise of a portfolio of securities, often described as a “basket. [read post]
27 Aug 2007, 4:16 am
Investment managers are starting new funds to buy distressed securities tied to the subprime mortgage market or buy asset-based securities that been devalued by the ratings agencies. [read post]
25 Mar 2020, 9:17 pm
It is no surprise that following the launch of their AI enabled motion drafting platform Compose in February, Casetext has secured a new round of funding. [read post]
14 Sep 2022, 5:26 am
The company notes that there is “no assurance that the Fund will be able to complete the listing within the expected time frame or at all. [read post]
19 May 2020, 6:49 am
The SEC complaint seeks to prevent TCA Fund Management Group and the Global Credit Fund from committing ongoing securities law violations and also sought the appointment of a receiver. [read post]
28 Nov 2017, 3:46 pm
Continue reading The post Woodbridge Mortgage Funds Subject of Pennsylvania Orders to Show Cause appeared first on Investor Lawyers Blog. [read post]
4 Jun 2019, 8:16 am
The Securities and Exchange Commission today announced that a private fund manager in the mortgage-backed securities space has agreed to pay a $5 million penalty to settle charges stemming from compliance deficiencies that contributed to the firm’s failure to ensure that certain securities in its flagship fund were valued properly.The fund manager’s chief investment officer (CIO) agreed to pay a $250,000 penalty.An SEC investigation… [read post]
22 Mar 2022, 11:58 am
The FS Energy and Power Fund (FSEN) went public as a business development company formed to invest in gas, oil and energy companies. [read post]
20 Feb 2020, 8:44 am
According to the company, these transactions did not change the net assets of the Fund or the value of a shareholder’s investment. [read post]
1 May 2018, 11:02 am
The Cyan case arose out of the purchase of shares of stock in Cyan, a telecommunications company, by three pension funds and one individual in an initial public offering. [read post]
