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9 Jul 2024, 9:05 pm
It was also reasonable to expect investors to, on their own, shift a substantial amount of their capital from actively managed mutual funds to actively managed ETFs given (1) the relative advantages (tax and otherwise) of ETFs over mutual funds and (2) the fact that nontransparent active management was now possible on the ETF side. [read post]
15 Oct 2014, 2:56 pm
New investors participating in the round included The Broe Group, Decheng Capital, Deerfield Management, OrbiMed, Perceptive Advisors, Rock Springs Capital and Wellington Management Company. [read post]
1 Oct 2019, 11:20 am
On August 20, 2019, the Securities and Exchange Commission (“SEC”) charged Mosaic Capital, LLC, formerly known as AOC Securities, LLC (“AOC”), and its CEO with failing to adequately supervise an employee who engaged in securities fraud. [read post]
23 May 2014, 5:05 am
Hampton allegedly used the space to operate a private hedge fund, Hampton Capital Management (HCM). [read post]
19 Jun 2017, 11:36 am
Wesselt operates his securities practice under an d/b/a entity called Wesselt Capital Group. [read post]
13 Jun 2011, 8:37 am
Janus Capital Management (JCM) is the funds’ investment advisor. [read post]
2 Mar 2021, 7:42 am
Infinity Q Capital Management Founder May Have Incorrectly Valued Certain Fund Assets The US Securities and Exchange Commission (SEC) has approved the suspension of redemptions on the $1.8B Infinity Q Diversified Alpha Investor Fund (IQDAX). [read post]
1 Feb 2023, 7:01 am
Mackenzie Capital Management reportedly specializes in discounted real estate securities and asset management, according to its website. [read post]
7 Jul 2014, 1:50 pm
” This provision entitles investors to participate in later securities issuances on a pro rata basis (assuming conversion of all preferred stock). [read post]
7 Feb 2014, 1:15 pm
Brown The Securities and Exchange Commission’s (“SEC”) Office of Compliance Inspections and Examinations released a “Risk Alert” on January 28, 2014, which focuses on the due diligence investment advisers perform in alternative investments[1] and managers for their clients. [read post]
1 Jul 2019, 12:43 pm
According to FINRA Disciplinary actions for June 2019, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Andrews, Helen Morgan Stanley Barclays Capital Inc Andreyeva, Tatyana Westpark Capital, Inc Fordham Financial Management, Inc Basarian, Gary Royal Alliance Associates, Inc … [read post]
1 Mar 2011, 9:00 pm
There will be some additional cost because your debt will be financed with securities that will mature in the future which have a higher interest rate. [read post]
18 Oct 2017, 5:00 am
The TICs offered by the defendants were securities, the amici argued, because they constituted an investment in a common real estate enterprise with an expectation of profit to be derived from the defendants’ management of that enterprise. [read post]
26 Jun 2022, 7:32 am
Abel, Managing Attorney, U.S. [read post]
19 Mar 2024, 5:13 am
The post The Just Security Podcast: Crisis in Haiti appeared first on Just Security. [read post]
2 Apr 2020, 3:03 am
With ongoing economic uncertainty, many companies are thinking about and taking steps to address liquidity and capital resources. [read post]
5 Jan 2023, 2:22 pm
Allegations relate to the financial crisis from over a decade ago where a number of financial institutions – including Deutsche Bank Securities, RBS Securities, and Wachovia Capital Markets – misled investors within offering documents on various securities issued by NovaStar. [read post]
12 Apr 2019, 2:55 am
Managing margin lending risk is crucial to ensuring the financial stability of security margin financing brokers and protecting the market. [read post]
3 Dec 2014, 1:29 pm
However, given the regulatory requirements in Canada, Paladin’s management decided to exclude its Canadian shareholders. [read post]
3 Dec 2014, 1:29 pm
However, given the regulatory requirements in Canada, Paladin’s management decided to exclude its Canadian shareholders. [read post]
