Search for: "Security Funding Company "
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16 Aug 2019, 5:00 am
The company had used funds from new investors to pay off existing participants. [read post]
3 Oct 2011, 7:05 am
The Securities and Exchange Commission recently published a concept release and request for comments (the “Release”) on a wide range of issues relating to the use of derivatives by investment companies regulated under the Investment Company Act of 1940, including mutual funds, closed-end funds, exchange-traded funds and business development companies (collectively, “funds”). [read post]
3 Feb 2016, 9:42 am
MainStay Investments is a subsidiary of New York Life Insurance Company. [read post]
2 Sep 2022, 7:41 am
The company collects a number of these policies into a fund, then it sells shares of the fund to investors. [read post]
18 Jan 2018, 6:45 am
Private fund advisers advising at least one fund under Section 3(c)(1) of the Investment Company Act of 1940 that is not a venture capital fund must, in addition to meeting the above-mentioned basic requirements, (1) advise only those 3(c)(1) funds, other than venture capital funds, whose outstanding securities (other than short term paper) are beneficially owned entirely by persons who would each meet the "qualified client"… [read post]
1 Jul 2019, 5:00 am
Private fund adviser exemption. [read post]
4 Apr 2016, 6:25 am
Last month the Securities and Exchange Commission (“SEC”) commenced an administrative proceeding against an Augusta Georgia investment adviser to a hedge fund called Geier International Strategies Fund, LLC (“GISF”). [read post]
27 Apr 2016, 1:47 pm
Have you suffered investment losses in Passco Companies Income Fund II, LLC? [read post]
14 Jun 2016, 8:06 am
Have you suffered losses investing in the Cypress Income Fund IV Secured Recourse 8.25% Promissory Note? [read post]
28 May 2024, 2:08 pm
Read NY Attorney General Secures Historically Large Settlement with Cryptocurrency Companies and Asks Whistleblowers to Come Forward at constantinecannon.com [read post]
21 Mar 2018, 5:00 am
Her company raised billions of dollars in investor funds as a result of the claims. [read post]
19 May 2017, 9:08 am
Turner is prohibited from serving as a broker or associating himself with companies that offer securities to the public. [read post]
20 Jan 2016, 11:17 am
and Does the individual handle securities or funds in connection with the transaction. [read post]
21 Sep 2016, 7:51 am
The Securities and Exchange Commission today charged hedge fund manager Leon G. [read post]
7 Apr 2008, 10:55 am
In a decision issued on March 13, 2008, the Delaware Chancery Court in JANA Master Fund, Ltd. v. [read post]
11 Jun 2007, 6:42 pm
Shareholders of mutual funds Janus Capital Group may not pursue a class action claim that the company violated federal securities laws by permitting hedge funds to engage in market timing with the shares of mutual funds operated by Janus, the U.S. [read post]
14 Jan 2016, 11:40 am
The Fund invests primarily in securities of gold-mining companies whose properties, products, or services are international in scope. [read post]
2 Feb 2010, 7:41 pm
Other claims, including a 1940 Investment Company Act Section 36(b) claim over tax advisory fees, were dismissed. [read post]
17 Nov 2017, 3:31 pm
The company, which has offered a number of various Woodbridge Mortgage Investment Funds (“Woodbridge Funds”), has marketed so-called “First Position Commercial Mortgages” (or “FPCMs”) to investors nationwide through issuing promissory notes in exchange for investments backing certain hard money loans secured by commercial real estate. [read post]
20 Apr 2014, 6:36 pm
Amendments to the Undertakings for collective investments in transferable securities (UCITS V) Directive clarify who is liable for mismanagement of funds and tailor the compensation of fund managers to encourage them to take reasonable risks and a long-run view. [read post]
