Search for: "Security Funding Company "
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12 Jan 2011, 8:00 am
(“JCG”) paid $100 million to settle with the Securities and Exchange Commission. [read post]
29 May 2024, 6:30 am
Following in the footsteps of similar initiatives by regulators in other jurisdictions, including the SEC’s recent tightening of investment company name requirements and the FCA’s rules around names and the marketing of investment products introduced as part of its Sustainability Disclosure Requirements and investment labelling regime, the European Securities and Markets Authority (“ESMA”) published its final Guidelines on… [read post]
29 May 2024, 6:30 am
Following in the footsteps of similar initiatives by regulators in other jurisdictions, including the SEC’s recent tightening of investment company name requirements and the FCA’s rules around names and the marketing of investment products introduced as part of its Sustainability Disclosure Requirements and investment labelling regime, the European Securities and Markets Authority (“ESMA”) published its final Guidelines on… [read post]
9 Feb 2017, 7:19 am
The company has created 14 different real estate funds. [read post]
11 Nov 2020, 11:50 am
The companies, which provide bail bond funds to immigrants, filed suit over ICE’s regulation that only allows a 33-day appeal before declaring a bond breached. [read post]
10 Jul 2020, 11:30 am
Trust companies and the trust departments of banks provide trustee services. [read post]
30 Mar 2016, 9:07 am
The fund’s investors included state pension funds, public companies, and other institutional investors. [read post]
12 Jun 2013, 11:07 am
In the case where a company cannot fund the plan and/or goes bankrupt, there is a final fail safe protection. [read post]
7 Jul 2020, 12:29 pm
According to SEC filings, the company filed a Form D to raise capital from investors with the offering Kensington Realty Income Fund LP in 2014. [read post]
18 Mar 2021, 11:23 am
The purpose of the Final Rule was to harmonize and bring some consistency to the somewhat complex system of securities offerings that are exempt from registration with the SEC. [read post]
12 Mar 2021, 5:39 am
According to the Financial Industry Regulatory Authority (FINRA), Hede and Graetz were employed with Paulson Investment Company from 2013 until 2017. [read post]
12 Mar 2021, 5:39 am
According to the Financial Industry Regulatory Authority (FINRA), Hede and Graetz were employed with Paulson Investment Company from 2013 until 2017. [read post]
12 Feb 2014, 5:45 am
The Financial Industry Regulatory Authority (FINRA) ordered brokerage firms Stifel, Nicolaus & Company, Incorporated (Stifel Nicolaus) and Century Securities Associates, Inc. [read post]
9 Mar 2014, 2:16 pm
Opposite party for deposits, security loans and derivate trades may be resident in Norway as well as in USA, Great Britain, Denmark, Finland, France, Italy, the Netherlands, Spain, Sweden and Germany. [read post]
28 Sep 2010, 8:42 am
Auction rate securities were sold to investors as safe investments that were similar to cash or money market funds that offered higher return rates than long term debt investments, but when the market froze investors no longer had access to their funds causing a liquidity crisis for many investors. [read post]
3 Nov 2009, 1:59 am
Location: London November 4 Sponsors: Hedge Funds Care Event: 6th Annual Toronto Open Your Heart to the Children Gala Location: Toronto November 5 Sponsors: Regulatory Compliance Association Event: RCA Annual Asset Management Thought Leadership Conference Location: New York, NY November 5 Sponsors: Connecticut Hedge Fund Association Event: Global Alpha Forum Location: Greenwich, CT November 5 - November 6 Sponsors: Deal Flow Media Event: The Private Equity Secondaries… [read post]
24 Feb 2016, 8:59 am
Figure out which companies they've funded in the past. [read post]
8 Oct 2010, 12:38 pm
The Canadian Securities Administrators (CSA) published an update today regarding their plans for requiring adoption of IFRS by Canadian investment funds. [read post]
23 Jul 2010, 4:18 am
RPI, a company that prints custom photo products, today announced it secured a $5 million round of funding from Huntington Capital. [read post]
23 Mar 2021, 1:13 pm
Securities and Exchange Commission (SEC) has pursued enforcement actions against several Silicon Valley companies. [read post]
