Search for: "Industrial Commission Special Fund"
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18 Jan 2011, 2:22 pm
On January 10, 2011, the British Columbia Securities Commission (the “Commission”) overturned the proxy solicitation process employed by the Mutual Fund Dealers Association of Canada (MFDA) in connection with a special meeting of its members. [read post]
5 Nov 2013, 6:03 am
Similarly, an accountant specializing in auditing hedge funds and managed futures funds, Keith Stafford, said that he and his colleagues regularly see how poorly managed futures perform and wonder why people invest in them at all. [read post]
11 Feb 2012, 1:43 am
Readers must have heard the news that White Industries Australia Limited (WIAL) has won the investment arbitration against India. [read post]
17 Nov 2010, 7:24 am
The Securities and Exchange Commission and the Commodity Futures Trading Commission are working to administer a new whistleblower rule that could provide lottery-sized payouts to informants that provide valuable information in a successful case of securities law violation. [read post]
27 Oct 2020, 1:23 pm
The fund reportedly offers three share classes, A, B and C, and each comes with significant dealer fees and commissions. [read post]
12 Nov 2010, 10:17 am
Sales of specialized exchange-traded funds (ETFs) are on the rise. [read post]
1 May 2024, 6:30 am
The US Securities and Exchange Commission (“SEC”) and the Commodity Futures Trading Commission (“CFTC”) have overhauled Form PF and private fund managers have until March 12, 2025, to begin reporting on the new Form. [read post]
1 May 2024, 6:30 am
The US Securities and Exchange Commission (“SEC”) and the Commodity Futures Trading Commission (“CFTC”) have overhauled Form PF and private fund managers have until March 12, 2025, to begin reporting on the new Form. [read post]
26 Mar 2013, 6:11 am
There should be no government or industry involvement in appointments to the new body. [read post]
16 Oct 2018, 7:55 am
The PFAU is a specialized enforcement unit that is dedicated to pursuing investigations related to possible misconduct in the municipal securities market and in connection with public pension funds, including investigations relating to potential offering and disclosure fraud. [read post]
28 Feb 2008, 3:05 pm
According to FINRA, the violations include sales by these firms of load securities, meaning clients were required to pay commissions, when these investors were eligible to make fund exchanges without paying commissions. [read post]
29 May 2013, 10:57 am
Commonwealth specializes primarily in information technology, medical technology, and telecommunications equipment and “offers one of the only Information Technology specialized public Alternative Investment funds in the U.S. [read post]
23 Sep 2020, 3:08 pm
BJA even has a special grant program for body-worn cameras. [read post]
7 Feb 2011, 8:24 am
Together, the provisions direct the SEC and the Commodity Futures Trading Commission to collect data from private fund advisers so as to inform the FSOC about systemic risk in the industry. [read post]
14 Feb 2007, 6:55 pm
The proceedings arise from ASIC's investigation of matters identified by the Special Commission of Inquiry into the Medical Research and Compensation Foundation. [read post]
4 May 2007, 6:21 pm
This is particularly the case as to antitrust immunities, exemptions, or special industry-specific standards.[1] The Antitrust Modernization Commission ("AMC") was created by the Antitrust Modernization Commission Act of 2002, Public Law No. 107-273 Section 11054(h), 116 Stat. 1856, 1857 (2002). [read post]
27 Feb 2012, 1:23 pm
The use of wiretaps sent a chill through the hedge fund industry closed to outsiders and what the FBI calls "undercover resistant. [read post]
27 Feb 2012, 1:23 pm
The use of wiretaps sent a chill through the hedge fund industry closed to outsiders and what the FBI calls "undercover resistant. [read post]
7 Dec 2010, 6:33 am
Moreover, probing violations in the mutual fund industry has not been a top priority for the SEC. [read post]
22 Oct 2010, 5:17 pm
The Commission, which would lay an integral role in implementing the reforms, will soon solicit public comment on the proposed reforms. [read post]
