Search for: "Bruce Investments"
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28 Jan 2013, 5:00 am
Private equity investments are inherently illiquid and therefore requires the fund manager to make judgment calls about pricing. [read post]
17 Jan 2013, 6:36 am
Karpati heads the Asset Management Unit, or AMU, whose central focus is on hedge funds and investment advisers to alternative investments and private funds. [read post]
10 Jan 2013, 2:45 pm
Well done to Bruce and Janet for bringing this topic to the surface. [read post]
9 Jan 2013, 11:16 am
Bruce Karpati, Chief of the SEC Enforcement Division’s Asset Management Unit, gave a speech entitled “Enforcement Priorities in the Alternative Space” on December 18, 2012. [read post]
7 Jan 2013, 10:01 pm
The agency also examined industry market research confirming the effectiveness of online techniques:O Online marketing activities are a worthy investment because they keep children engaged with the company and promote brand loyalty. [read post]
7 Jan 2013, 6:00 pm
The SEC sued Marc Gabelli, the portfolio manager of GGGF, and Bruce Alpert, the Chief Operating Officer of Gabelli Funds, LLC (“Gabelli”), GGGF’s investment advisor. [read post]
7 Jan 2013, 5:00 am
Pileggi of Fox Rothxchild LLP Enforcement Action by Bruce Carton FCPA Blog by Richard L. [read post]
7 Jan 2013, 5:00 am
Pileggi of Fox Rothxchild LLP Enforcement Action by Bruce Carton FCPA Blog by Richard L. [read post]
7 Jan 2013, 5:00 am
Pileggi of Fox Rothxchild LLP Enforcement Action by Bruce Carton FCPA Blog by Richard L. [read post]
3 Jan 2013, 11:12 am
Specifically, Bruce Karpati (the head of the unit), speaking before the Regulatory Compliance Association, an operations and compliance advocacy group, recently said that the retailization of hedge funds has made it easier for unsophisticated investors to invest directly in hedge funds. [read post]
20 Dec 2012, 5:00 am
Karpati finished the speech by ask fund managers to be nice to examiners: Finally, I think all investment advisers need to be alert and prepared for exam inquiries. [read post]
20 Dec 2012, 5:00 am
Karpati finished the speech by ask fund managers to be nice to examiners: Finally, I think all investment advisers need to be alert and prepared for exam inquiries. [read post]
19 Dec 2012, 5:00 am
“[w]hy is an investor better off just investing in Aladdin sponsored CLOs and CDOs? [read post]
19 Dec 2012, 5:00 am
“[w]hy is an investor better off just investing in Aladdin sponsored CLOs and CDOs? [read post]
18 Dec 2012, 10:07 am
” Bruce points out that multi-level marketing companies are notorious for NOT TRACKING retail sales. [read post]
3 Dec 2012, 7:00 am
Non-lawyer Investment in U.S. [read post]
27 Nov 2012, 2:00 am
Non-lawyer Investment in U.S. [read post]
30 Oct 2012, 10:00 pm
” (p. 269) Change is never easy, and it will require both inside and outside counsel to make a substantial investment in learning new skills and experimenting with new ways to do business. [read post]
29 Oct 2012, 8:36 am
When the IRS denied the losses, Nicholas filed multiple suits claiming the losses were proper because the trusts had invested in distressed debt with a legitimate non-tax purpose. [read post]
29 Oct 2012, 8:28 am
You want the first iteration of the research guide to be as simple and easy to create as possible so that your emotional, financial, and time investment is minimal. [read post]
