Search for: "Investment Management Advisory Group"
Results 541 - 560
of 1,591
Sorted by Relevance
|
Sort by Date
4 Mar 2022, 3:44 pm
Securities and Exchange Commission (“SEC”) released a proposal aimed at enhancing cybersecurity risk management programs, including cybersecurity preparedness and response, for registered investment advisers (“advisers”), investment companies and business development companies (“funds”). [read post]
21 Mar 2013, 6:50 am
Calstrs also invests with activist Nelson Peltz's Trian Fund Management LP, according to the pension fund. [read post]
8 Aug 2023, 11:25 am
According to The Financial Advisor IQ, “The trades were executed in a non discretionary advisory account Nia managed for a community bank, FINRA asserted in letters of acceptance, waiver and consent published this week. [read post]
9 Jul 2020, 5:08 am
Please visit our Investment Adviser Practice Group page for more information. [read post]
20 Dec 2013, 10:06 am
[The Board sustained this opposition to registration of STONE LION CAPITAL for "financial services, namely, investment advisory services, management of investment funds, and fund investment services" [CAPITAL disclaimed], finding the mark likely to cause confusion with the registered marks LION and LION CAPITAL for various financial services [CAPITAL disclaimed]].StonCor Group, Inc. v. [read post]
26 Feb 2007, 3:36 pm
The private investor group's long-term investment horizon allows TXU's board, management and the investor group to formulate a long-term strategy to meet TXU customers' needs and to respond to the significant energy challenges in Texas. [read post]
7 Mar 2022, 8:44 am
Scott Silver, Silver Law Group’s managing partner, is the chairman of the Securities and Financial Fraud Group of the American Association of Justice. [read post]
27 Apr 2011, 8:28 am
Among the many groups who are coming under increased regulation from the Dodd-Frank Act are non-U.S. based investment advisers who may be required to register with the SEC as early as this summer. [read post]
1 Jan 2013, 2:56 pm
Blackstone is a global investment management and financial advisory firm. [read post]
20 Jul 2015, 1:33 pm
O'Brien has participated in panels to improve the State Liquor Authority's license application process, as well as helping to draft legislation and State Liquor Authority Board advisories—which resulted in the number of liquor manufacturers in the state more than doubling.Greg Francis has been appointed Chief Investment Officer of The New York State Insurance Fund. [read post]
5 Apr 2011, 7:47 am
The MFA also asked the Board to clarify the calculation of assets for asset managers and the investment funds they manage. [read post]
11 Mar 2020, 6:34 am
Please visit our Investment Adviser Practice Group page for more information. [read post]
29 Jan 2024, 9:10 am
The EU Taxonomy is being integrated into ESG risk management and credit decision-making processes. [read post]
13 Sep 2022, 11:07 am
At least two investment firms, Farallon Capital Management L.L.C. and Pentwater Capital Management L.P., also sought information from individuals close to Zatko. [read post]
5 Jun 2013, 9:06 am
The establishment and maintenance of these arrangements with limited review or oversight by the sponsoring company or its management team can be risky. [read post]
20 Jul 2023, 10:45 am
According to Smart Asset, the company has $17 billion in assets under management. [read post]
26 Feb 2015, 1:20 pm
The Internal Revenue Service (IRS) is revising the application procedures for pre-approved 403(b) opinions and advisory letters. [read post]
9 Apr 2018, 10:47 am
Additionally, they found that PNCI improperly charged advisory fees to client accounts for periods when there was no assigned investment advisory representative. [read post]
22 Nov 2013, 4:07 am
[The Board sustained this opposition to registration of STONE LION CAPITAL for "financial services, namely, investment advisory services, management of investment funds, and fund investment services" [CAPITAL disclaimed], finding the mark likely to cause confusion with the registered marks LION and LION CAPITAL for various financial services [CAPITAL disclaimed]].StonCor Group, Inc. v. [read post]
5 Sep 2018, 9:00 pm
Investment in food safety management systems is needed to boost growth of Myanmar’s (formerly Burma) agribusiness sector. [read post]
