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19 Jul 2011, 2:00 am
THE IMPORTANCE OF A STRONG COMPLIANCE PROGRAM Among other things, registration requires an adviser to adhere to the requirements of Rule 206(4)-7 under the Investment Advisers Act of 1940 (“Advisers Act”), also known as the “Compliance Rule. [read post]
18 Jul 2013, 6:04 am
I suspect this one is designed to scoop up the venture capital funds that managed to escape the investment adviser registration requirement under Dodd-Frank. [read post]
19 Oct 2012, 2:40 pm
Private employers with 500 or more employees must be in compliance as of January 1, 2012. [read post]
21 Aug 2014, 5:00 am
The courses usually covered the definition of a security, the public offering process, the exemptions from registration (small offering, private placement, intrastate, crowdfunding), and liability (Section 11 and 12 in the 1933 Act). [read post]
29 Nov 2012, 5:04 am
Hogan Lovells partner Marcy Wilder will speak on “Health Policy & Regulatory Environments: A Mobile Perspective” at the 2012 mHealth Summit on December 4. [read post]
21 Jan 2018, 9:41 am
As part of our dedicated team, you will assist in developing and maintaining registration schemes for landlords, agents and private halls to ensure that students and staff have access to a database of well-managed, safe and affordable private accommodation in London. [read post]
5 Dec 2014, 12:35 pm
This test involved a finding of 26 potential factors, and the forensic psychologist testified that, based on her assessment, the juvenile only exhibited 4 of the 26 factors suggesting relative to the risk of re-offending. [read post]
1 Nov 2023, 6:32 am
Like a traditional SPAC, a SPARC is a shell company that is seeking to identify and combine with a private company, with the post-combination entity being a capitalized public company. [read post]
1 Nov 2023, 6:32 am
Like a traditional SPAC, a SPARC is a shell company that is seeking to identify and combine with a private company, with the post-combination entity being a capitalized public company. [read post]
10 Sep 2013, 8:58 pm
”[4] Although the IRS refused to approve the rule, hospitals and health organizations continue to fight the cost-passing practice. [read post]
15 Jan 2007, 10:13 am
"ICANN" is a non-profit, private sector corporation formed in November 1998 under an agreement with the National Telecommunications and Information Administration of the U.S. [read post]
4 Dec 2013, 9:07 am
. **** www.colefrieman.com December 4, 2013 Clients, Friends, Associates: December is the busiest month of the year for most private fund managers. [read post]
18 Feb 2021, 5:01 am
Some have authorized broad injunctions against the display of private information. [read post]
18 Oct 2008, 5:43 pm
But yesterday the Supreme Court, in a per curiam order, reversed the Sixth Circuit, finding that the district court likely lacked jurisdiction in actions to enforce Section 303 of HAVA brought by private litigants. [read post]
29 Jun 2020, 4:33 pm
SIM card registration undermines peoples’ ability to communicate, organize, and associate with others anonymously. [read post]
17 Nov 2017, 7:57 am
Bell of McCordsville, Indiana filed suit in the Southern District of Indiana alleging that Defendant, Anderson Schulle of Indianapolis, Indiana infringed his rights in the “Indianapolis Photo” registered on August 4, 2011 with the US Copyright Office, Registration No. [read post]
15 Mar 2010, 1:30 am
When: March 27th, 2010, at 4 pm Where: Hôtel de Galliffet, Istituto Italiano di Cultura di Parigi, 50 rue de Varennes, 75007 Paris Admission is free, but registration is compulsory at ceje.urbino@gmail.com Related posts:Summer Seminar in Urbino The Faculty of Law of the University of Urbino will host this... [read post]
4 Jun 2021, 4:00 am
Under the Foreign Agent Registration Act, any person representing the interest of foreign entities in the U.S. must disclose their relationship. [read post]
9 Nov 2011, 1:05 pm
4. [read post]
14 Mar 2012, 10:28 am
Rule 4.13(a)(4) previously exempted private pools from registering as a CPO with the CFTC for funds offered only to institutional qualified eligible purchasers (“QEPs”) and natural persons who meet QEP requirements that hold more than a de minimis amount of commodity interests. [read post]
