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It also does not include portfolio management provided to a client that is a fund, or an Alternative Investment Fund Manager or management company for or on behalf of a fund (i.e., where the portfolio manager acts as a delegate). [read post]
23 Apr 2024, 5:57 am by Anna Tkachova
(Editor’s note: This article is part of Just Security’s Symposium, International Law in the Face of Russia’s Aggression in Ukraine: The View from Lviv.) [read post]
23 Apr 2024, 5:18 am by Beatrice Yahia
“It can’t purport to want to have positive friendly relations with countries in Europe, and at the same time be fueling the biggest threat to European security since the end of the Cold War. [read post]
22 Apr 2024, 9:01 pm by renholding
Consult your favorite securities attorney. [read post]
22 Apr 2024, 1:15 pm by Yosi Yahoudai
Nadine Cubeisy, a Yale student and one of the organizers of the protest, said demonstrators were calling on Yale to divest in defense companies because it was disturbing that “this university that I’m going to, that I contribute to and that my friends give money to is using that money to fund violence. [read post]
22 Apr 2024, 1:11 pm by Kevin LaCroix
Private equity firms and their sponsored funds are not signatories to a portfolio company’s registration statements or prospectuses. [read post]
22 Apr 2024, 12:55 pm by Kelly Shivery
Civil Cyber-Fraud Initiative Jelly Bean Communications Design LLC and its manager reached a settlement by paying $293,771 to address allegations related to the security of personal information on a federally funded Florida children’s health insurance website. [read post]
22 Apr 2024, 11:16 am by Yosi Yahoudai
Nadine Cubeisy, a Yale student and one of the organizers of the protest, said demonstrators were calling on Yale to divest in defense companies because it was disturbing that “this university that I’m going to, that I contribute to and that my friends give money to is using that money to fund violence. [read post]
22 Apr 2024, 7:09 am by Alden Abbott
National Security: CFIUS Investigation As the U.S. [read post]
22 Apr 2024, 1:06 am by INFORRM
The bill would require NGOs and media outlets that receive over 20% of their funding from overseas to register as an “organisation serving the interests of a foreign power. [read post]
20 Apr 2024, 9:05 pm by Melissa Bredbenner
FINRA is a not-for-profit organization funded by industry fees, not by taxpayer dollars. [read post]
20 Apr 2024, 9:10 am by Yosi Yahoudai
“This defendant admitted he lied about his company’s revenue and customers to attract funding from investors, including many in Silicon Valley,” U.S. [read post]
SBF also founded his own hedge fund, Alameda Research, which would go on to be a key player in his scheme to defraud investors. [read post]
19 Apr 2024, 9:27 am by CFM Admin
  Of note, neither private funds nor investment advisers (trading for their own account) are exempt from the dealer or government securities dealer registration requirements. [read post]