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16 Dec 2015, 5:43 am
In addition to financial reporting cases, the division has been active in pursuing cases in the asset management investment advisory area, including cases against firms regarding fees and expenses, typically involving the lack of disclosure. [read post]
11 Dec 2015, 2:23 pm
Many of CAMS registered representatives function as investment advisors and several operate their own investment advisory firms. [read post]
7 Dec 2015, 4:58 pm
All together 26 financial institutions from developing and developed countries with combined balance sheets of more than US $11 trillion signed on to the voluntary Principles to Mainstream Climate Action within Financial Institutions, pledging to integrate climate considerations into their investment and advisory functions. [read post]
6 Dec 2015, 9:14 am
Our panelists will be two of our advisory board members, Jean O’Grady (Director of Research and Knowledge Services, DLA Piper) and Delilah Flaum (Partner at Winston & Strawn). [read post]
5 Dec 2015, 7:54 am
” It is unclear from the regulatory filings what companies were invested in but from publicly available information, Morgan’s brokercheck disclosures reveal several outside business activities including US College Planning, W&C Business Management, Strategis Wealth Consulting, and Strategis Wealth Advisory Group. [read post]
17 Nov 2015, 10:02 am
For example, in Pekin Singer Strauss Asset Management, available here, the SEC charged an investment advisory firm and its president with violations involving compliance failures, but did not charge the adviser’s CCO, who had allegedly warned the firm that he did not have the resources to fulfill his compliance responsibilities. [read post]
10 Nov 2015, 2:18 pm
Dax White is the managing partner of the White Law Group, a national securities fraud, securities arbitration and investor protection law firm with offices in Chicago, Illinois and Vero Beach, Florida. [read post]
25 Oct 2015, 11:12 am
CONNECT. tips to help teens be privacy-savvy and manage their online reputation. [read post]
16 Oct 2015, 2:44 pm
According to the SEC’s complaint, Bernath allegedly directed three funds managed by his investment advisory firm, Headline Investment Management, to make loans to and investments in illiquid real estate and business ventures which he also managed and in which he had personally invested. [read post]
13 Oct 2015, 9:58 am
The SEC recently announced a settlement with three investment advisor affiliates of The Blackstone Group (the Advisors) that were accused of breaching their fiduciary duty to funds they manage or managed, failing to make necessary disclosure to the funds’ investors and failing to adopt and implement policies and procedures reasonably designed to prevent violations of the Investment Advisers Act of 1940 and its rules. [read post]
4 Oct 2015, 4:54 pm
-based advisory firm. [read post]
17 Sep 2015, 6:01 am
Further discussion of the desirability (or otherwise) of abolishing appeals to the Privy Council arose: in 1978 in the Report of the Royal Commission on the Courts; in 1989 in a Law Commission Paper on the Structure of the Courts; in 1995 in a report by the Solicitor General to the Cabinet Strategy Committee on court structures; in a Discussion Paper called “Reshaping New Zealand’s Appeal Structure” issued in 2000 by the Attorney General; and in an Advisory Group… [read post]
14 Sep 2015, 5:19 am
The most impacted media was the television for almost 60 percent and then it was the internet for a group closer to 25 percent. [read post]
14 Sep 2015, 5:13 am
The most impacted media was the television for almost 60 percent and then it was the internet for a group closer to 25 percent. [read post]
31 Aug 2015, 5:54 pm
Here are some of the ways JMBM helps clients with data security matters The JMBM Global Hospitality Group® and the JMBM Cybersecurity & Privacy Group work with clients to establish and enforce data security policies, and assists clients when there are breaches. [read post]
31 Jul 2015, 2:42 pm
Total number of offices at which the adviser conducts investment advisory business. [read post]
24 Jul 2015, 7:23 am
Puritz described his company as “part of a broad trend of new investment advisory firms that seek to provide consumers with a fundamentally better set of retirement investment options, offering retirement investment advice to clients at all income levels for very modest fees. [read post]
20 Jul 2015, 1:33 pm
O'Brien has participated in panels to improve the State Liquor Authority's license application process, as well as helping to draft legislation and State Liquor Authority Board advisories—which resulted in the number of liquor manufacturers in the state more than doubling.Greg Francis has been appointed Chief Investment Officer of The New York State Insurance Fund. [read post]
11 Jul 2015, 2:14 pm
The heavy reliance by group health plans and health insurers upon internet based applications and portals to carry out online enrollment, claims administration and payment, reporting and a host of other key health plan functions makes it particularly important for health plans, their employer or other sponsors, fiduciaries, vendors, and other involved in health plan administration or using or accessing health plan data to verify and ensure the internet data sharing and other applications… [read post]
10 Jul 2015, 8:43 am
-based investment advisory firm and its two owners were recently charged with fraudulently inflating the prices of securities in hedge fund portfolios they managed. [read post]
