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16 May 2024, 9:01 pm
Today, registered investment advisers advise 57 million clients with respect to $129 trillion in assets.[1] This conference focuses on emerging trends in asset management. [read post]
24 Jun 2015, 10:00 am
Jim Butler is a founding partner of JMBM, and Chairman of its Global Hospitality Group® and Chinese Investment Group™. [read post]
13 Apr 2020, 9:52 am
This is significant because the Wildermuth Fund’s manager, Daniel Wildermuth, has an ownership stake in Kalos Capital and the fund’s manager, Wildermuth Advisory, is under common control with Kalos Capital. [read post]
14 Apr 2016, 9:17 am
The results also show that the recognition of IP on the balance sheet is one of the features linked to some of the best scoring companies, suggesting that acquired IP assets, as a result of M&A, has encouraged companies to take IP management more seriously.Kromek Group, a County Durham based radiation detection solution provider has topped the 2016 Intellectual Property League Table (IP100). [read post]
15 Mar 2018, 6:22 am
The National Seminar, which is part of the SEC’s Compliance Outreach Program, is designed to help educate registered investment advisers’ chief compliance officers (“CCOs”), as well as their senior officers, about “various broad topics applicable to larger investment advisory firms and investment companies. [read post]
13 Feb 2014, 1:12 pm
The Future Fund Management Agency is responsible for assisting and advising the Board." [read post]
5 Jun 2024, 1:45 pm
This led to the firm receiving fees that it would not have collected had its advisory clients been invested in the available lower-cost share classes of those funds. [read post]
2 Aug 2017, 7:34 am
Affiliated AR Global REITs have sought 20-year management agreements with its external advisor which is controlled by Nicholas Schorsch. [read post]
15 Dec 2017, 9:01 am
. **** December 15, 2017 Clients, Friends, Associates: Holiday celebrations bring welcomed joy and excitement to the busiest time of year for most investment managers. [read post]
15 Dec 2017, 9:01 am
. **** December 15, 2017 Clients, Friends, Associates: Holiday celebrations bring welcomed joy and excitement to the busiest time of year for most investment managers. [read post]
10 Aug 2023, 9:31 am
Between November 2015 and August 2017, HSBC allegedly misled its current and prospective advisory clients and didn’t disclose conflicts of interest related to how it compensated its dually registered investment advisor representatives in the firm’s retail banking and wealth management unit, according to the SEC.According to the SEC, HSBC also allegedly failed to implement written policies and procedures designed to prevent violations of the Investment… [read post]
18 Jan 2022, 3:16 pm
Scott Silver, Silver Law Group’s managing partner, is the chairman of the Securities and Financial Fraud Group of the American Association of Justice. [read post]
23 Aug 2011, 2:00 am
Regulation M exempts from its application redeemable securities issued by an open-end management investment company, and an ETF is an open-end management investment company. [read post]
2 Sep 2022, 8:00 am
He also had his own firm, Shillin Wealth Management, which managed close to 3,000 accounts and had $135 million in assets under management, according to the charges. [read post]
28 Sep 2022, 3:33 am
If complaints against the SEC’s ambitious rulemaking agenda are getting to SEC Chair Gary Gensler, then last week’s Investor Advisory Committee must have been a nice pick-me-up. [read post]
30 Oct 2019, 9:06 am
Our Hedge Fund Practice Group provides advice to entrepreneurial or “emerging” investment managers in connection with the structuring, formation, and operation of private investment funds. [read post]
8 Apr 2009, 6:39 pm
One ex-broker said that he had to meet 80% of his sales target in PAS in order to qualify for the investment portion of the manager bonus and not receive an employment warning. [read post]
8 Jan 2013, 6:31 am
Graves operated his own investment advisory firm he was also registered with several FINRA registered broker-dealers and operated his advisory firm under these firms’ umbrella. [read post]
5 Apr 2023, 2:05 pm
The firm is dual registered as a brokerage firm and an investment advisory firm, CRD#: 37031/SEC#: 801-74927,8-47572. [read post]
27 Feb 2018, 7:28 am
For example, promises of favorable research coverage should be prohibited, and analysts should be prevented from participating in pitches alongside corporate advisory or investment banking staff within the firm.Measure 2: After an underwriting or placing mandate has been awarded, regulators should consider requiring firms to take steps to prevent a connected analyst’s views and research from being improperly influenced and to ensure that the analyst remains independent. [read post]
