Search for: "Capital Management Securities"
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6 Jul 2020, 8:34 am
Securities and Exchange Commission (SEC) issued a Notice of Covered Action regarding action against the investment adviser Everest Capital LLC (Everest) and its sole principal, Marko Dimitrijevic. [read post]
14 Oct 2022, 7:23 am
Botella used to be "a Senior Business Manager at Capital One, where she ran the company’s Secured Card credit card and taught credit risk management. [read post]
12 Jul 2008, 4:24 am
Managers may also have to commit some capital, but that is relatively minor compared to the large finance obtained through leverage. [read post]
3 Dec 2007, 5:14 pm
Venture funds request these rights in order to obtain an exemption from regulations under the Employee Retirement Income Security Act of 1974. [read post]
2 Sep 2016, 6:06 am
Hakki, Shearman & Sterling LLP, on Thursday, September 1, 2016 Tags: Jurisdiction, SEC, SEC enforcement, Securities enforcement, Securities fraud, Securities regulation, U.S. federal courts [read post]
19 Jun 2018, 6:00 am
Tokens as capital. [read post]
5 Apr 2011, 2:39 pm
Senior management in financial institutions set the tone of the importance, awareness and compliance for information security. [read post]
6 Jul 2021, 8:40 pm
On 2 July 2021, the European Banking Authority and the European Securities and Markets Authority published revised final joint Guidelines on the assessment of the suitability of members of the management body and key function holders. [read post]
22 Nov 2010, 5:00 am
SEC Release IA-3111 Exemptions for Advisers to Venture Capital Funds, Private Fund Advisers With Less Than $150 Million in Assets Under Management, and Foreign Private Advisers [read post]
11 Jan 2007, 5:18 am
Morgan Securities, which owns the lender, has approached several buyers recently, including Ellington Capital Management, a $4.5 billion fund with a specialty in [...] [read post]
19 Jan 2007, 3:39 am
The offer of $3 a share by Kelly Capital Management was disclosed in a regulatory filing yesterday and Mace said its board was reviewing the [...] [read post]
9 Mar 2007, 5:52 am
Breeden Capital Management, run by Richard Breeden, declined an offer of one seat on March 2 and a second on Thursday, the casual-dining chain [...] [read post]
6 Dec 2006, 5:09 am
The continuing Congressional interest in the SEC's insider trading investigation of money management firm Pequot Capital came up in yet another hearing before the Senate Judiciary Committee. [read post]
5 Dec 2006, 8:38 am
In defending the handling of their investigation of Pequot Capital Management, the Securities and Exchange Commission has argued that former S.E.C investigator Gary Aguirre did not have enough evidence to justify questioning John Mack, now the chief executive of Morgan Stanley, in the case. [read post]
10 Feb 2022, 3:00 am
Jinjie Lin Yale School of Management Abstract I study how antitrust concerns arising from product markets influence corporate disclosure in capital markets. [read post]
5 Dec 2006, 10:43 am
Officials from the Securities and Exchange Commission on Tuesday said it was the unprofessional behavior of Gary Aguirre, and not his complaints about the handling of an investigation of Pequot Capital Management, that led to him being fired. [read post]
16 Oct 2017, 6:08 am
This paper, written for the Conference on the New Special Study of Securities Markets at Columbia Law School, identifies and reviews the key regulatory challenges posed by institutional intermediaries in America’s capital markets. [read post]
26 Jul 2018, 11:41 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Jennifer Ling (Ling), formerly associated with Axiom Capital Management, Inc. [read post]
16 Jun 2008, 12:23 am
A secure platform. [read post]
29 Sep 2018, 8:59 am
This post is based on her recent testimony before the United States House of Representatives Committee on Financial Services, Subcommittee on Capital Markets, Securities, and Investment, available here. [read post]
