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21 Nov 2017, 4:22 pm
These allegations by the hedge fund manager concerned UDF and its various funds, including UDF III, allegedly exhibiting potential signs of a Ponzi scheme, including propping up poorly performing investments in earlier funds with new investor capital raised from later fund vintages. [read post]
31 May 2012, 9:53 am
Under CFTC Rule §1.23, FCMs are permitted to retain a residual financial interest in customer funds in excess of the amount necessary to meet segregation requirements, as long as the residual interest is properly segregated and accounted for. [read post]
18 May 2016, 11:00 am
The amount of the penalty is equal to the amount of the tax that was not collected and paid. [read post]
14 Aug 2019, 6:00 am
Combined limit on cash borrowing and short selling: Alternative mutual funds can only borrow cash and short sell concurrently if the combined amount does not exceed 50% of NAV. [read post]
24 Apr 2023, 6:42 am
On 21 April 2023, there was published in the Official Journal of the EU (OJ) Commission Delegated Regulation (EU) 2023/840 of 25 November 2022 supplementing Regulation (EU) 2021/23 of the European Parliament and of the Council with regard to regulatory technical standards specifying the methodology for calculation and maintenance of the additional amount of pre-funded dedicated own resources to be used in accordance with Article 9(14) of that Regulation. [read post]
1 Nov 2011, 8:13 am
Currently, those protections do not allow public solicitation and limit the amounts sold to non-accredited investors. [read post]
11 Dec 2023, 8:04 am
Of course, some of the "funding and support" is imposing stricter fines for providers who have lax cybersecurity.Some amount of cybercrime is inevitable. [read post]
23 Dec 2010, 2:50 pm
On the second of the month, John would withdraw the entire amount from the Savings Account, and give the money to Jane's parents to pay for their medical care. [read post]
18 Feb 2009, 9:54 am
I'm not going to claim a minimum or maximum amount or total I will invest. [read post]
16 Jun 2008, 4:41 pm
 This amount represents about 20 percent of what investors have lost. [read post]
4 Feb 2023, 10:51 am
The fee amount was set by regulation and the State Board initially set the fee at $36. [read post]
10 Jun 2013, 3:31 am
Planetary science, which received additional funding even after sequestration and rescission compared to the administration’s request, would lose that funding: it would go back to $1.2 billion, the amount originally requested by the administration for FY13. [read post]
5 Jan 2019, 9:32 am
A financial advisor would have to sell a lot of stocks and bonds to generate the same amount of commissions. [read post]
25 Sep 2017, 4:00 am
"The court held that [1] Fennelly was not entitled to the supplemental wage increases, i.e. payments reflecting "the difference between the amount received under such allowance or pension and the amount of his [or her] regular salary or wages"* but [2] Eastchester was not entitled to recoup any "overpayments" it made to Fennelly since 2005. [read post]
20 Aug 2015, 10:52 am
The author argued that, while there is an excessive amount of share classes offered by open-end mutual fund companies, there is no need. [read post]
2 Feb 2012, 9:59 pm
The amount of dollars invested in 2011 constituted the third highest annual investment total in the past ten years. [read post]
18 Jan 2022, 11:36 pm
The original fund closed in 2004. [read post]
26 Nov 2010, 4:19 pm
But Dodd-Frank does not define the term “fair market value” for the purpose of determining the amount of secured claim that will be treated as an unsecured claim. [read post]
20 Sep 2011, 9:00 pm
You have a reasonable basis, after due inquiry, for believing that the qualified custodian sends an account statement, at least quarterly, to each of your clients for which it maintains funds or securities, identifying the amount of funds and of each security in the account at the end of the period and setting forth all transactions in the account during that period. 4. [read post]
23 Dec 2021, 6:51 am
The total amount of grant funding awarded a project is at the ODOD’s discretion; therefore, it will be critical for project applications to make a strong case for the level of funding sought in the application. [read post]
