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26 Mar 2018, 10:19 am
He was supposed to put her retirement funds in safe, suitable investments, and he did not. [read post]
27 Aug 2010, 10:23 am
A senior official of the Hong Kong Securities and Futures Commission emphasized that the regulation of hedge funds must be globally harmonized in order to prevent regulatory arbitrage and protectionist entry barriers. [read post]
5 Jul 2019, 5:03 am
Recently, the organization came out in favor of a proposal by the securities industry self-regulator, FINRA, to force registered brokerage firms to contribute to an investor compensation fund. [read post]
13 Apr 2009, 4:09 am
Goldman Sachs said Monday it has secured about $5.5 billion in investor commitments for a new fund to buy private-equity investments at a discount on the secondary market. [read post]
11 Jun 2010, 2:37 pm
Forty leading securities lawyers urged Congress to allow the Securities and Exchange Commission to keep the hundreds of millions of dollars in fees it collects each year and use them to support its operations. [read post]
2 Apr 2013, 6:58 am
The Conversion Transaction refers to the conversion of IMH Secured Loan Fund into a Delaware corporation. [read post]
13 Dec 2018, 12:24 pm
Securities Investigation – Abberton Opportunities Fund LP Are you concerned about your investment in Abberton Opportunities Fund LP? [read post]
29 Feb 2016, 4:34 pm
But Mitchell, a recognized expert on retirement and Social Security, has done research that supports a novel way to boost the trust fund’s life span, in a way that is revenue neutral. [read post]
1 May 2009, 1:14 am
Several of the recipients of TARP funding have also been the targets of securities class action lawsuits and other litigation. [read post]
13 Apr 2022, 9:35 am
Western Asset SMASh Series Core Plus Completion Fund (LMECX) Securities Investigation Did your financial advisor recommend investing in a high yield bond fund such as Western Asset SMASh Series Core Plus Completion Fund (LMECX)? [read post]
16 Jan 2018, 12:53 pm
First time fund managers often are surprised by how long it takes to secure enough capital commitments to hold a fund’s initial closing, particularly when seeking commitments from institutional investors. [read post]
29 Apr 2010, 3:43 am
Goldman Sachs Group is in talks over a possible settlement with an Australian fund that said it became defunct after it bought into a $1 billion subprime mortgaged-linked security, The Financial Times reports. [read post]
24 May 2012, 9:06 am
The trust funds supporting the Social Security disability and retirement programs will run out of money three years earlier than expected, according to new report issued in April. [read post]
18 Sep 2012, 3:58 am
The UAE Securities and Commodities Authority (SCA) published the long awaited Investment Funds Regulations at the end of July. [read post]
26 Sep 2013, 9:12 pm
Hedge Fund Industry has asked the European Securities and Markets Committee to revise and clarify its proposed guidance under the E.U. [read post]
16 Apr 2020, 12:27 pm
Right now, however, unlike Social Security, disability, and veterans’ payments, … Continue reading → [read post]
11 Jan 2011, 10:44 am
., to pay $18 million into a Fair Fund to be established by the Securities and Exchange Commission (SEC) to repay investors in YieldPlus, an ultra short-term bond fund managed... [read post]
13 Jan 2016, 4:39 pm
Kristin Finklea, Specialist in Domestic Security. [read post]
27 Jun 2011, 5:00 am
The SEC extended the deadline for private fund managers to register with the Securities and Exchange Commission as investment advisers from July 21, 2011 to March 30, 2012. [read post]
25 Oct 2013, 7:52 am
Both the JOBS Act and the proposed rules require that crowdfunding offerings be made through either registered securities brokers or registered funding portals.... [read post]
