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No. 5065 (Nov. 19. 2018) (alleging that the adviser inconsistently applied tiered “breakpoints” that reduced advisory fees as the total amount of client assets under management increased and failed to aggregate or “household” related account balances of the same client and clients within the same household for the purposes of achieving the advisory fee breakpoint discounts); In re Barclays Capital Inc., Advisers Act Rel. [read post]
No. 5065 (Nov. 19. 2018) (alleging that the adviser inconsistently applied tiered “breakpoints” that reduced advisory fees as the total amount of client assets under management increased and failed to aggregate or “household” related account balances of the same client and clients within the same household for the purposes of achieving the advisory fee breakpoint discounts); In re Barclays Capital Inc., Advisers Act Rel. [read post]
14 Nov 2021, 8:56 pm by Race to the Bottom
An understanding of yield farming cannot be achieved without first understanding the term DeFi. [read post]
11 Nov 2021, 2:07 pm by Kevin LaCroix
  Claim-specific loss mitigation analysis on 106 (~19%) deficient Rule 10b-5 SCAs that are currently active on Federal Court dockets is critical to achieve ~50% loss ratios and sustain profitability during a shifting rate environment. [read post]
We all have a right to exist in this world with the opportunity to achieve success in the way that we define it personally. [read post]
10 Nov 2021, 4:36 pm by Rob Robinson
Press Announcement Driven and Innovative Discovery Merge to Better Serve Clients Along the Information Lifecycle Driven, Inc. [read post]
8 Nov 2021, 9:40 am by Rick St. Hilaire
Antiquities sellers soon will be covered by the Bank Secrecy Act.FinCen recently completed an advance public comment period over anticipated enforcement rules, sparking debate among heritage advocates, cultural property groups, archaeologists, dealers, auction houses, and museum directors.The Anti-Money Laundering Act of 2020 (AML Act) is a hot topic in the cultural property world as the US Treasury Department’s Financial Crimes Enforcement Network (FinCen) prepares rules to enforce the new… [read post]
5 Nov 2021, 5:21 pm by Unknown
Sandoz Inc., headquartered in New Jersey, has agreed to pay $185 million. [read post]
5 Nov 2021, 5:21 pm by Unknown
Sandoz Inc., headquartered in New Jersey, has agreed to pay $185 million. [read post]
5 Nov 2021, 5:48 am by Richard Hunt
Sepulveda v Lakeshore 76, Inc., 2021 WL 5014861 (N.D. [read post]
5 Nov 2021, 4:00 am by Public Employment Law Press
    Multi-Agency: Compliance With Executive Order 95 - Achieving Transparency and Citizen Engagement Through Open Data (2021-D-1) Auditors conducted a series of reports to examine state agencies’ compliance with EO 95 to improve accountability and support continuous improvement of Open Data, increasing its benefits to the public and government entities. [read post]
5 Nov 2021, 4:00 am by Public Employment Law Press
    Multi-Agency: Compliance With Executive Order 95 - Achieving Transparency and Citizen Engagement Through Open Data (2021-D-1) Auditors conducted a series of reports to examine state agencies’ compliance with EO 95 to improve accountability and support continuous improvement of Open Data, increasing its benefits to the public and government entities. [read post]