Search for: "Julie Hedges"
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12 Nov 2014, 9:55 pm
Julie's a great reporter, but she needs to get her facts straight. [read post]
28 Feb 2011, 4:19 pm
” Despite agreeing with Judge Hedges’ sentiment, the main question in my mind will be whether footnote 44 is given its due weight going forward. [read post]
11 Sep 2013, 8:47 am
Also, in 2010 the IASB strengthened disclosure requirements relating to off balance sheet exposures in the case of transfers of financial assets, which came into effect in Europe on July 1, 2011 pursuant to IFRS 7. [read post]
8 Feb 2024, 9:01 pm
Second, in July 2023, we finalized amendments to Form PF for large liquidity fund advisers to align their reporting requirements with those of money market funds. [read post]
25 Apr 2012, 2:00 am
” The Volcker Rule, which becomes effective on July 21, 2012, imposes broad restrictions on proprietary trading and sponsoring and investing in hedge funds and private equity funds by banking entities. [read post]
15 Nov 2010, 5:00 am
European countries will now be setting up a framework for regulating hedge funds and private equity funds. [read post]
27 Jul 2020, 6:59 am
On 24 July 2020, the European Commission published its long-awaited legislative proposal for targeted amendments to Directive 2014/65/EU on markets in financial instruments (MiFID II) as regards information requirements, product governance and position limits to help the recovery from the COVID-19 pandemic (MiFID “quick fix”). [read post]
4 Aug 2017, 5:55 am
Parker MacIntyre provides legal and compliance services to investment advisers, broker-dealers, registered representatives, hedge funds, and issuers of securities, among others. [read post]
23 Jul 2019, 5:35 am
The consultation notes the benefit of alignment with fallbacks for ISDA derivatives for hedged transactions and that the “historical mean/median” approach to spread adjustment was favoured by a majority of respondents in the recent ISDA consultation. [read post]
22 Jul 2014, 7:00 am
Moreover, in 2006, the NASD found that Josephberg opened approximately 28 accounts for sever hedge fund clients in order to market time mutual funds. [read post]
1 May 2024, 2:07 am
Clarifying the prohibition on hedging of the material net interest required to be retained under the risk retention requirements. [read post]
10 Nov 2017, 7:57 am
Parker MacIntyre provides legal and compliance services to investment advisers, broker-dealers, registered representatives, hedge funds, and issuers of securities, among others. [read post]
8 Jul 2021, 9:27 am
We have written about the SEC’s focus on cybersecurity in July 2020 and January 2020. [read post]
5 Jan 2010, 1:38 pm
On July 25 through August 1, 2010, the 18th International Congress of Comparative Law will be held at the Ritz-Carlton Hotel in Washington D.C. [read post]
31 Jul 2018, 6:44 am
Parker MacIntyre provides legal and compliance services to investment advisers, broker-dealers, registered representatives, hedge funds, and issuers of securities, among others. [read post]
5 Dec 2017, 7:50 am
FINRA found that between July 2010, and May 2012 Wells Fargo brokers recommended volatility-linked ETPs without fully understanding their risks and features. [read post]
2 Sep 2009, 2:37 am
The suit filed Monday in Sarasota Circuit Court accuses the law firm and its attorney of preparing disclosure documents for investors that failed to mention Arthur Nadel, who headed the hedge funds, was a disbarred New York attorney who had drained a client's escrow account. [read post]
30 Sep 2020, 1:51 pm
In July 2020, the Securities and Exchange Commission issued supplemental guidance relating to the duties of investment advisers with respect to proxy voting. [read post]
1 May 2024, 2:07 am
Clarifying the prohibition on hedging of the material net interest required to be retained under the risk retention requirements. [read post]
25 Aug 2020, 8:44 pm
This is because several local government leaders hedged recently when asked about providing workers’ compensation to emergency responders who contract the COVID-19 coronavirus. [read post]
