Search for: "Investment Management Advisory Group"
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11 May 2021, 10:43 am
By Amy Leisinger, J.D.A new study by Cerulli Associates and the Investment Adviser Association has found that the investment advisory industry has made steps toward increased diversity but that the pace has been slow. [read post]
11 May 2021, 5:46 am
Prior to joining Marks Baughan, John was Managing Director in the Global Industrials Group and European Head of Technology Investment Banking for HSBC Bank plc where he was responsible for leading HSBC’s coverage of the European Technology sector. [read post]
6 May 2021, 9:03 pm
Little Bear Produce California Cantaloupe Advisory Board Duda Farm Fresh Foods, Inc. [read post]
5 May 2021, 8:45 pm
In this briefing we will cover: EU IFR/IFD: Status update UK IFPR: What we know so far Sector focus: Commodity firms; asset managers; advisory firms (exempt CAD firms); broker dealer firms (clearing brokers) Please register for the webinar here. [read post]
30 Apr 2021, 12:39 pm
Georgetown Law held its 38th Annual Representing and Managing Tax-Exempt Organizations conference (virtual edition) last week. [read post]
25 Apr 2021, 2:00 pm
Martin Silver was the co-founder, managing partner, and chief operating officer of the International Advisory Group LLC. [read post]
22 Apr 2021, 2:26 am
The classifications given to the underlying investments of investment products will be crucial in ensuring that they are achieving their sustainability goals while delivering high levels of transparency in the market. [read post]
21 Apr 2021, 9:37 am
The following is a list of broker dealers that allegedly sold GPB Holdings II to investors, according to the Form D filings: Axiom Capital Management, Inc Ascendant Alternative Strategies, LLC ACCELERATED CAPITAL GROUP ADVISORY GROUP EQUITY SERVICES LTD. [read post]
21 Apr 2021, 1:45 am
In this briefing we will cover: EU IFR/IFD: Status update UK IFPR: What we know so far Sector focus: Commodity firms; asset managers; advisory firms (exempt CAD firms); broker dealer firms (clearing brokers) Please register for the webinar here. [read post]
16 Apr 2021, 3:00 am
Madoff, who at one time was the chairman of the Nasdaq, defrauded billions of dollars from clients of his investment advisory business over several decades by fabricating stock trades and paying returns with other client’s money. [read post]
15 Apr 2021, 3:17 am
So the last one is privacy trade off the noble sacrifice of individual control over personal information for group benefits like AI driven health care advancements, which also happened to be highly profitable. [read post]
9 Apr 2021, 6:19 am
Fried (Harvard Law School), on Thursday, April 8, 2021 Tags: Board composition, Boards of Directors, California, Diversity, ESG, Listing standards, NASDAQ, Private ordering, Securities regulation, State law PCAOB Approves Formation of New Standards Advisory Group to Further Enhance Stakeholder Engagement and Provide Advice Posted by Erin Dwyer, Public Company Accounting Oversight Board, on Thursday, April 8, 2021 … [read post]
8 Apr 2021, 2:42 am
The Council has launched with the goal of making Texas the most favored jurisdiction in the United States for blockchain business and investment. [read post]
1 Apr 2021, 8:44 am
Binding all retailers to the litigation strategy and settlement terms acceptable to such a small group of non-representative plaintiffs is patently unfair. [read post]
1 Apr 2021, 5:53 am
Year M&A+I Data Points Activity By Month (Q1 2021) January – 3 February – 3 March – 4 Activity By Month (Q1 2020) January – 6 February – 2 March – 2 Activity By Month (Q1 2019) January – 11 February – 3 March – 1 M&A+I Events (Running Listing: November 2001 – Today) eDiscovery Mergers, Acquisitions, and Investments Event DateAcquired (Investee)Acquirer (Investor)Amount (Estimated $) 25-Mar-21RedscanKroll… [read post]
1 Apr 2021, 3:18 am
Law firm librarians adjusted to fit the needs of the law firms and focused on balancing the resources online and print materials, and began more of the knowledge management and competitive intelligence aspects of research and analytics. [read post]
31 Mar 2021, 1:14 pm
Elstun of Lenexa, Kansas, an investment adviser, for allegedly repeatedly defrauding and breaching his fiduciary duty to advisory clients through his formerly registered investment adviser Crossroads Financial Management, Inc. [read post]
28 Mar 2021, 11:15 am
MultiPlan is a data analytics firm that provides cost management solutions to the U.S. healthcare industry. [read post]
26 Mar 2021, 6:09 am
Miles (The Miles Group), on Wednesday, March 24, 2021 Tags: Corporate culture, Corporate purpose, Corporate Social Responsibility, Diversity, ESG, Management, Stakeholders Behavioral Psychology Might Explain What’s Holding Boards Back Posted by Maria Castañón Moats, Paul DeNicola, and Leah Malone, PricewaterhouseCoopers LLP, on Thursday, March 25, 2021 Tags: Behavioral finance, Board… [read post]
12 Mar 2021, 11:31 am
The Grandfather FINRA OBA Paradox (BrokeAndBroker.com Blog)Singapore Resident Charged In Manhattan Federal Court With Fraudulent Pre-IPO Stock Scheme (DOJ Release)SEC Charges Texas Investment Adviser and Two Executives in Connection with $17 Million Energy Fund Fraud (SEC Release)Staff Statement on Investment Company Cross Trading (SEC Division of Investment Management Staff)Remarks at Investor Advisory Committee Meeting (SEC Commissioner Hester M. [read post]
