Search for: "In the interest of C.D." Results 661 - 680 of 926
Sort by Relevance | Sort by Date
RSS Subscribe: 20 results | 100 results
30 Mar 2011, 7:00 am by Kara OBrien
While at the firm, the examiners target certain areas such as conflicts of interest, valuation of complex investment instruments, private funds, allocation of trades (especially where the RIA manages side-by-side incentive fee and non-incentive fee clients), advertising and performance presentations, and custody of assets issues. [read post]
22 Mar 2011, 5:48 am by Steve McConnell
Smart Balance, Inc., CV 10-00927 (C.D. [read post]