Search for: "Matter of Mallon"
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8 Oct 2011, 9:45 am
**** Cole-Frieman & Mallon LLP provides a variety of services including: hedge fund formation, advisor registration and counterparty documentation, CFTC and NFA matters, seed deals, internal investigations, operational compliance, regulatory risk management, hedge fund due diligence, marketing and investor relations, employment and compensation matters, and routine business matters. [read post]
12 Jul 2018, 8:53 am
Digital Asset Matters We see many thought-provoking items in the digital asset sector as the industry moves towards greater institutional infrastructure. [read post]
27 Oct 2017, 2:16 am
CFTC Matters: CFTC Grants SEF and DCO Registration to LedgerX. [read post]
20 Apr 2023, 1:20 pm
For details, contact info@colefrieman.com. **** SEC Matters SEC Charges Staking-as-a-Service Provider. [read post]
13 Jul 2021, 5:54 am
**** SEC Matters SEC Revises Qualified Client Threshold. [read post]
26 May 2015, 2:50 pm
In 2015, the SEC will focus on its efforts on: matters of importance for retail investors and investors saving for retirement, including whether the information, advice, products, and services being offered are consistent with applicable laws, rules and regulations; market-wide risks, such those created by clearing agencies, cybersecurity compliance and controls, and equity order routing conflicts; and, using data analytics to identify signals of potential illegal activity. [read post]
26 May 2015, 2:50 pm
In 2015, the SEC will focus on its efforts on: matters of importance for retail investors and investors saving for retirement, including whether the information, advice, products, and services being offered are consistent with applicable laws, rules and regulations; market-wide risks, such those created by clearing agencies, cybersecurity compliance and controls, and equity order routing conflicts; and, using data analytics to identify signals of potential illegal activity. [read post]
8 Dec 2021, 7:27 am
Conversations regarding the annual review may raise sensitive matters, and advisers should ensure that these discussions are protected by attorney-client privilege. [read post]
14 Apr 2020, 7:06 am
. **** Bart Mallon is a founding partner of Cole-Frieman & Mallon LLP. [read post]
6 Jul 2023, 11:20 am
Cole-Frieman & Mallon LLP is a leading investment management law firm known for providing top-tier, innovative, and collaborative legal solutions for complex financial service matters. [read post]
31 Dec 2019, 8:13 am
Conversations regarding the annual review may raise sensitive matters, and advisers should ensure that these discussions are protected by attorney-client privilege. [read post]
22 Dec 2020, 9:43 am
Last year, Cole-Frieman & Mallon hosted a well attended presentation and networking event with regulatory compliance firm Aspect Advisors. [read post]
22 Jul 2016, 11:01 am
www.colefrieman.com July 22, 2016 Clients and Friends: We hope that this message finds you well and that you are enjoying the first months of summer. [read post]
15 Dec 2017, 9:01 am
This update includes the following: Cryptocurrency Leadership Annual Compliance & Other Items Annual Fund Matters Annual Management Company Matters Regulatory & Other Changes in 2016 Compliance Calendar **** Cryptocurrency Leadership: This year digital assets and cryptocurrencies have emerged in force as a separate and distinct asset class. [read post]
15 Dec 2017, 9:01 am
This update includes the following: Cryptocurrency Leadership Annual Compliance & Other Items Annual Fund Matters Annual Management Company Matters Regulatory & Other Changes in 2016 Compliance Calendar **** Cryptocurrency Leadership: This year digital assets and cryptocurrencies have emerged in force as a separate and distinct asset class. [read post]
4 Dec 2013, 9:07 am
This overview includes the following: * Regulatory & Other Changes in 2013 * Adviser Registration & Compliance * CFTC Regulation * Annual Compliance & Other Items * Annual Fund Matters * Annual Management Company Matters * Compliance Calendar **** Regulatory & Other Changes in 2013: Foreign Account Tax Compliance Act (“FATCA”). [read post]
8 Dec 2021, 11:27 am
Conversations regarding the annual review may raise sensitive matters, and advisers should ensure that these discussions are protected by attorney-client privilege. [read post]
15 Nov 2009, 5:43 pm
By Bart Mallon, Esq. [read post]
6 Feb 2020, 6:17 am
**** Bart Mallon is a founding partner of Cole-Frieman & Mallon LLP. [read post]
27 Apr 2017, 10:13 am
Below is our quarterly update which went out via email today to our firm’s clients and friends. [read post]
