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10 Jan 2023, 12:33 pm
The settlement stemmed from CHS Hedging’s failure to properly implement the AML controls necessary to stop customers from speculative trading and verify sources of funds. [read post]
27 Jun 2019, 1:35 pm
The post Stockbrokers Cannot Inherit Customer Accounts appeared first on Securities Arbitration Lawyers Blog. [read post]
20 Jun 2020, 1:01 am
” George Soros, born in Hungary in 1930 and a graduate of the London School of Economics, made his money in hedge fund management. [read post]
22 Mar 2012, 12:06 pm
LFC’s are often run by former lawyers–some with an investment or hedge fund background. [read post]
18 Aug 2010, 8:57 pm
Add the fact that many public entities have purchased complex derivatives whether to hedge interest rate risk, package together with bonds to work around statutory restrictions on public debt or get higher rating agency ratings, or just invest. [read post]
21 May 2018, 12:56 pm
Puerto Rico Bond Fraud Cases On the U.S. mainland and on the island, our Puerto Rico bond fraud lawyers have been working with investors over the last five years to help them recover the money they lost while investing in Puerto Rico bonds and closed-end bond funds. [read post]
10 Oct 2018, 6:32 pm
Another third think they should be hedge fund managers, venture capitalists, or similar financial potentates. [read post]
24 Dec 2009, 6:31 am
In assessing the role of systemic risk in the financial crisis, Professor Scott focuses on the risks associated with the failure of banks and hedge funds and on the potential impact of CDS defaults on counterparties. [read post]
1 Feb 2012, 6:51 am
Rajaratnam's offices at the Galleon Group hedge fund. [read post]
1 Feb 2012, 6:51 am
Rajaratnam's offices at the Galleon Group hedge fund. [read post]
18 May 2009, 1:25 pm
Picower and the Harley International hedge fund. [read post]
30 Sep 2012, 8:17 pm
, Stockbroker Fraud Blog, September 27, 2012 Institutional Investment Fraud Roundup: Ex-Hedge Fund Managers’ Guilty Plea Over Bilking Investors of Almost $1M Get 3-Year Prison Term, SEC Sues Investment Adviser Over Alleged $37M Ponzi, and SEC Files Lawsuit Over Purported “Fund of Funds” Scam, Institutional Investor Securities Blog, September 26, 2012 [read post]
21 Dec 2018, 1:13 pm
While MIO Partners disclosed three of its hedge funds’ investments in the Puerto Rico bonds in filings submitted in federal court, the disclosures were not made under McKinsey’s name. [read post]
7 Aug 2013, 9:30 pm
Bair advocated greater efforts to persuade government lawyers and other regulatory officials to stay in government. [read post]
17 Sep 2013, 9:30 pm
Bair advocated greater efforts to persuade government lawyers and other regulatory officials to stay in government. [read post]
16 Apr 2010, 9:25 pm
Were we to insert some kind of moral gauge into the capitalist model, I would guess that hedge fund managers would earn less than day care workers. [read post]
19 Dec 2024, 6:47 am
Critics worry lawyers might prioritize funders’ interests over their clients’. [read post]
16 Apr 2010, 5:54 am
The SEC, in particular, has critical market regulation and investor protection roles that will likely be expanded to include additional responsibility for hedge funds, and some OTC derivatives. [read post]
5 Jul 2010, 11:45 am
Page 11 State Lawyer Effectively Pushed Out poor communication between the former director and an attorney resulted in the exclusion of the attorney from a decision on how a case would be handled, even though the attorney had been involved in the case for a number of months. [read post]
26 Aug 2009, 8:31 am
Published by Rob Robinson.Last Updated: August 19, 2009 - Rank Today: 11http://infogovernance.blogspot.comDealBook [feed]Covers mergers and acquisitions, investment banking, IPOs, private equity, hedge funds, venture capital and law. [read post]
