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12 Sep 2009, 12:51 pm
(b) Any registered investment adviser who wishes to charge a fee based on a share of the capital gains or the capital appreciation of the funds or any portion of the funds of a client must comply with SEC Rule 205-3 (17 Code of Federal Regulations §275.205-3), which prohibits the use of such fee unless the client is a “qualified client. [read post]
17 Nov 2021, 8:55 pm
In this issue we cover: Europe European update EU/UK regulatory roundup United Kingdom The new regime for preferential taxation of qualifying asset holding companies Luxembourg Luxembourg update Australia Australian Federal Government commits to the new corporate collective investment vehicle (CCIV) regime with updated draft legislation China Latest news on foreign invested asset/fund management companies United States SEC update Canada Reducing regulatory burden… [read post]
31 Aug 2017, 2:11 pm
The Division is responsible for the Commission's regulation of investment companies, variable insurance products, and federally registered investment advisers. [read post]
29 Apr 2009, 12:29 pm
The Treasury announced today that they received over 100 applications from fund managers who want to participate in the Public Private Investment Program (PPIP). [read post]
5 May 2021, 10:51 am
He and FFM are charged with violating antifraud provisions of federal securities laws. [read post]
20 Mar 2015, 12:00 pm
Pillsbury’s Investment Funds & Investment Management (IFIM) group is a vital and strategic part of our platform. [read post]
20 Mar 2015, 12:00 pm
Pillsbury’s Investment Funds & Investment Management (IFIM) group is a vital and strategic part of our platform. [read post]
2 Dec 2021, 12:56 pm
[ii] D&O insurers of Managed Care Organizations (MCOs) should be considering the impact of this increased PE investment. [read post]
16 Aug 2022, 10:00 pm
At the same time that the federal government, through the US Department of Labor, appears to be easing retirement plan fiduciaries’ paths to considering certain environmental, social, or governance (ESG) factors in making investment decisions, some states are passing legislation that would prohibit the states from doing business with managers who invest based on ESG criteria. [read post]
16 Aug 2022, 10:00 pm
At the same time that the federal government, through the US Department of Labor, appears to be easing retirement plan fiduciaries’ paths to considering certain environmental, social, or governance (ESG) factors in making investment decisions, some states are passing legislation that would prohibit the states from doing business with managers who invest based on ESG criteria. [read post]
16 Aug 2022, 10:00 pm
At the same time that the federal government, through the US Department of Labor, appears to be easing retirement plan fiduciaries’ paths to considering certain environmental, social, or governance (ESG) factors in making investment decisions, some states are passing legislation that would prohibit the states from doing business with managers who invest based on ESG criteria. [read post]
16 Aug 2022, 10:00 pm
At the same time that the federal government, through the US Department of Labor, appears to be easing retirement plan fiduciaries’ paths to considering certain environmental, social, or governance (ESG) factors in making investment decisions, some states are passing legislation that would prohibit the states from doing business with managers who invest based on ESG criteria. [read post]
16 Aug 2022, 10:00 pm
At the same time that the federal government, through the US Department of Labor, appears to be easing retirement plan fiduciaries’ paths to considering certain environmental, social, or governance (ESG) factors in making investment decisions, some states are passing legislation that would prohibit the states from doing business with managers who invest based on ESG criteria. [read post]
16 Aug 2022, 10:00 pm
At the same time that the federal government, through the US Department of Labor, appears to be easing retirement plan fiduciaries’ paths to considering certain environmental, social, or governance (ESG) factors in making investment decisions, some states are passing legislation that would prohibit the states from doing business with managers who invest based on ESG criteria. [read post]
11 Nov 2014, 11:42 am
Harris is also the Managing Partner of the Philadelphia 76ers, and a member of the Federal Reserve Bank of New York Investors Advisory Committee on Financial Markets. [read post]
16 Sep 2014, 8:36 pm
Employees make contributions into the plan, which are invested in a portfolio by the plan manager. [read post]
12 May 2013, 3:02 pm
The new diversification rules are reflective of a host of new and proposed rules and enforcement positions that Congress and federal regulators have or are contemplating to address perceived abuses or risks arising from the investment or retention of company stock in employee benefit plans. [read post]
8 Nov 2017, 12:57 pm
Janney Montgomery Scott, a Philadelphia-based full-service wealth management, financial services and investment banking firm, announced Wednesday the opening of its new branch office in the Federal Hill neighborhood of Baltimore at 145 W. [read post]
25 Mar 2016, 1:14 pm
The order also preliminarily enjoins Bivona, Saddle River Advisors, and SRA Management from violating the antifraud provisions of the federal securities laws and raising money from investors.The SEC’s investigation was conducted by Jessica W. [read post]
2 Aug 2011, 5:11 pm
As most people involved in the investment management industry know, many private investment fund managers will soon be required to register as investment advisers with the SEC, unless they meet certain exemptions, such as the so-called “private fund adviser exemption,” which exempts private fund managers who manage under $150 million in assets or the “venture capital exemption,” which exempts fund… [read post]
