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3 Jan 2016, 2:44 pm
In addition, Andrew Kreigler, IIROC President and CEO, stated in the accompanying press release to the resources that “[a]ctive management of cyber risk is critical to the stability of IIROC-regulated firms, the integrity of Canadian capital markets and the protection of investors. [read post]
4 May 2017, 1:32 pm
Aside (of course) from cyber security, there was substantial discussion concerning customer longevity. [read post]
13 May 2022, 8:59 am
This case is about the nature and extent of those constraints in securities fraud cases in which the SEC seeks penalties.The SEC OIPOn March 22, 2014, the Securities and Exchange Commission ("SEC") filed an Order Instituting Administrative Proceedings ("OIP") In the Matter of John Thomas Capital Management Group LLC, D/B/A Patriot28 LLC, George R. [read post]
10 Aug 2021, 3:48 am
Former GPB CEO and founder David Gentile, ex-managing partner Jeffrey Schneider, and Ascendant Capital owner Jeffrey Lash, who were charged with securities fraud, and conspiracy have also come under scrutiny for allegedly using investors’ money to pay for their own expenses. [read post]
7 Dec 2017, 7:32 am
Mackenzie Capital Management, LP’s extended a tender offer to purchase up to 1 million shares of their common stock at $6.89 per share. [read post]
8 Jul 2009, 4:09 pm
The PPIP fund managers announced today are: AllianceBernstein, LP and its sub-advisors Greenfield Partners, LLC and Rialto Capital Management, LLC; Angelo, Gordon & Co., L.P. and GE Capital Real Estate; BlackRock, Inc.; Invesco Ltd.; Marathon Asset Management, L.P.; Oaktree Capital Management, L.P.; RLJ Western Asset Management, LP.; The TCW Group, Inc.; and Wellington… [read post]
26 Sep 2023, 3:55 am
While we have not yet seen a proposal from the SEC revisiting the human capital disclosure requirements, last week the SEC’s Investor Advisory Committee considered a draft recommendation on human capital disclosure that was recommended by the SEC Investor Advisory Committee’s Investor-as-Owner Subcommittee. [read post]
24 May 2013, 11:04 am
Currently, ATEL “manages an equipment portfolio of approximately $2 billion. [read post]
1 Mar 2019, 9:20 am
GPB Capital, a New York-based alternative asset management firm, has reportedly raised $1.5 billion in investor equity through various private placement offerings in the automotive retail and waste management sectors. [read post]
Silver Law Group Represents Victims Of GPB Funds Ponzi Scheme In Claims Against HighTower Securities
31 Aug 2021, 7:25 am
That investor presented substantial evidence to the FINRA arbitration panel that HighTower Securities failed in its obligations to conduct adequate due diligence regarding GPB Capital and its affiliates. [read post]
17 Oct 2011, 3:27 pm
As always, you should consult an attorney who is familiar with securities regulatory issues in assessing whether your particular fund management business is required to register with the SEC. [read post]
24 Jun 2019, 7:19 am
SEC Chairman Jay Clayton stated, “These rules help ensure that the firms who are at the center of the security-based swap market manage counterparty risk appropriately and in so doing protect investors and the market more generally. [read post]
9 Aug 2019, 11:27 am
She has also represented private investment fund managers, registered securities broker-dealers and investment advisers on securities offerings, business transactions and regulatory compliance issues. [read post]
23 May 2023, 9:01 pm
I am pleased to welcome everyone to the Division of Investment Management’s inaugural Conference on Emerging Trends in Asset Management. [read post]
25 Jul 2013, 8:14 am
Federal prosecutors and the F.B.I. today announced a criminal indictment against SAC Capital Advisors, the embattled hedge fund managed by billionaire Steven Cohen, based on an alleged broad conspiracy to commit securities fraud through insider trading. [read post]
17 Apr 2008, 3:19 am
This dual approach to managing the country's national savings would serve India much better than rushing to set up a sovereign wealth fund to buy energy assets. [read post]
23 Nov 2022, 8:48 am
Barndollar reportedly worked as a registered representative of Crown Capital, as well as provided asset management services as a registered investment advisor. [read post]
2 Mar 2023, 9:05 pm
They call instead for pensions to be replaced by a much larger social security system. [read post]
2 Mar 2021, 9:47 am
Griffin Capital Essential Asset REIT Securities Investigation The White Law Group is investigating potential securities claims involving the liability broker dealers may have for improperly recommending Griffin Capital Essential REIT or Cole Office & Industrial REIT to investors. [read post]
19 Dec 2016, 12:53 am
Right now, MacKenzie Capital Management, LP will pay you $5.50 per Share. [read post]
