Search for: "Capital Management Securities"
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25 Apr 2013, 5:00 am
Umesh Tandon ran Simran Capital Management and was trying to land California Public Employees’ Retirement System (CalPERS) as a client. [read post]
5 Jun 2018, 4:24 am
’; ‘Do you seek advice on how to manage and exploit your intellectual capital? [read post]
27 Jan 2016, 10:57 am
Have you suffered losses investing in CION Investment Management BDC? [read post]
24 Jul 2022, 6:30 am
On 17 June 2022, Norges Bank Investment Management (NBIM) responded to the Securities and Exchange Commission (SEC)’s consultation on proposed rules to enhance and standardise climate-related disclosures for investors. [read post]
24 Jul 2022, 6:30 am
On 17 June 2022, Norges Bank Investment Management (NBIM) responded to the Securities and Exchange Commission (SEC)’s consultation on proposed rules to enhance and standardise climate-related disclosures for investors. [read post]
9 May 2012, 7:13 am
In addition, the SEC alleged that Waters Capital claimed the Port Huron Funds had $180 million in assets under management as of January 2010, but the Port Huron Funds' account was closed in March 2009 and never held more than $52,000. [read post]
27 Jan 2017, 4:47 am
Och-Ziff Investment Losses Are you concerned about investment losses with Och-Ziff Capital Management? [read post]
20 Nov 2019, 6:21 am
Active Navigation has an exciting opportunity in front of it, which was the catalyst for this infusion of capital. [read post]
14 Sep 2015, 7:12 am
Conclusion Counting is important when it comes to the Iowa capital gain deduction.In this case, the capital gain deduction would have been available if the taxpayers had sold the business within five years of retiring – executing the management agreement. [read post]
McShane et al. on Predicting Securities Fraud Settlements and Amounts: A Hierarchical Bayesian Model
24 Jul 2012, 6:47 pm
McShane of the Northwestern University School of Management, and colleagues, have published Predicting Securities Fraud Settlements and Amounts: A Hierarchical Bayesian Model of Federal Securities Class Action Lawsuits, Journal of Empirical Legal Studies, 9, 482–510 (2012). [read post]
21 Nov 2017, 12:00 am
The complaint asserted Richard Haddow, Capital’s manager and the owner of the defendants in the securities suit, transferred these funds to a separate account used to purchase the Property, instead of applying the money towards the proposed new venture. [read post]
9 Apr 2019, 6:32 am
Today, I will take a page from our disclosure rulebook and give you a look at the Securities and Exchange Commission (“SEC”) through the “eyes of management,” similar to what public companies do in the “Management’s Discussion and Analysis,” or “MD&A” section of their SEC filings. [read post]
4 Jul 2018, 3:37 am
SEC Obtains Asset Freeze, Shuts Down $5 Million Ponzi Scheme (SEC Litigation Release No. 24184)https://www.sec.gov/litigation/litreleases/2018/lr24184.htmThe Securities and Exchange Commission filed a Complaint in the United States District Court for the Eastern District of Virginia charging Edward Lee Moody and his wholly-owned investment adviser firm CM Capital Management, LLC with violations of the anti-fraud provisions of Section 17(a) of the Securities Act of… [read post]
19 May 2005, 3:09 pm
Galleon Management LP, Oaktree Capital Management LLC and DB Investment Managers Inc. were alleged by the US Securities and Exchange Commission [official website] to have violated Rule 105 [text], an anti-manipulation rule that the SEC [read post]
8 Aug 2017, 6:03 am
Following the decision of the Ontario Securities Commission in Re Canadian Tire Corp. and decisions of the ASC in Re Perpetual Energy Inc. and Re ARC Equity Management (Fund 4) Ltd., the ASC affirmed that in the absence of a breach of securities law, its public interest jurisdiction should only be exercised to address a clearly demonstrated abuse of investors and the integrity of the capital markets. [read post]
8 Aug 2017, 6:03 am
Following the decision of the Ontario Securities Commission in Re Canadian Tire Corp. and decisions of the ASC in Re Perpetual Energy Inc. and Re ARC Equity Management (Fund 4) Ltd., the ASC affirmed that in the absence of a breach of securities law, its public interest jurisdiction should only be exercised to address a clearly demonstrated abuse of investors and the integrity of the capital markets. [read post]
14 Nov 2016, 6:23 am
The asset management industry has witnessed a tremendous growth in exchange-traded funds (ETFs). [read post]
7 Sep 2011, 7:41 pm
A “venture capital investment” is an acquisition of securities in an “operating company” as to which the investment adviser, the entity advised by the investment adviser, or an affiliated person of either has or obtains management rights. [read post]
7 Sep 2011, 7:41 pm
A “venture capital investment” is an acquisition of securities in an “operating company” as to which the investment adviser, the entity advised by the investment adviser, or an affiliated person of either has or obtains management rights. [read post]
14 Jan 2019, 7:34 am
(Joseph Stone Capital). [read post]
