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14 Nov 2023, 9:01 pm
In addition, FinTech investment adviser Titan Global Capital Management USA LLC agreed to pay more than $1 million combined in a civil penalty, disgorgement, and prejudgment interest to settle charges that it violated the marketing rule. [read post]
13 Nov 2023, 9:05 pm
”[22] The Analytic Framework retains the non-exhaustive list of asset classes, institutions, and activities included in the proposal, but adds “private funds” to the list in response to “comments suggesting the addition of further examples. [read post]
8 Nov 2023, 9:05 pm
Mutual funds are set up by investment management companies, are available to the general public, and are regulated by the Securities and Exchange Commission (SEC). [read post]
5 Nov 2023, 3:10 pm
On June 11, 2015, DADS submitted a Breach Notification Report (“Report”) notifying OCR that on April 21, 2015 names, addresses, social security numbers, treatment information and other electronic protected health information (“ePHI”) of 6,617 individuals was viewable over the internet when a software coding flaw allowed prohibited access to ePHI with access credentials when DADS moved an internal application from a private, secure server to a public server. [read post]
3 Nov 2023, 2:24 pm
Sales, Inc. v. [read post]
3 Nov 2023, 11:39 am
is currently an in-house attorney at Ares Management and will return to Morgan Lewis & Bockius LLP as a mid-level associate in the Investment Management – Private Funds group in January 2024 where she will represent and counsel investment advisers, unregistered investment companies, and domestic and offshore private investment entities. [read post]
30 Oct 2023, 6:31 am
All the same, the firms’ proxy voting records shine a light on the importance of manager due diligence, even when selecting an otherwise plain-vanilla index fund. [read post]
30 Oct 2023, 6:31 am
All the same, the firms’ proxy voting records shine a light on the importance of manager due diligence, even when selecting an otherwise plain-vanilla index fund. [read post]
24 Oct 2023, 9:01 pm
Another goal of our detailed charging documents is to empower you in the compliance function by publicizing the cost of noncompliance, allowing you to advise your management or clients that proactive compliance is cheaper and better for business than facing a potential enforcement action. [read post]
22 Oct 2023, 11:03 pm
The amendments at that time deemed the art to be trust property and the sales proceeds to be trust funds in the hands of the gallery for the sole benefit of the artist. [read post]
20 Oct 2023, 2:40 pm
On August 23, 2023, the SEC issued final rules focused on investment advisers who manage private funds (the “New Private Fund Adviser Rules”). [read post]
19 Oct 2023, 8:51 am
Foreign private issuers must make comparable disclosures through Form 6-K for material cybersecurity incidents and Form 20-F for cybersecurity risk management, strategy, and governance. [read post]
11 Oct 2023, 11:10 am
Florida-based automotive management company Victory Automotive Group Inc. [read post]
11 Oct 2023, 8:10 am
A former billing manager at Cardiac Imaging Inc., Lynda Pinto, brought forward allegations of fraud as a whistleblower. [read post]
11 Oct 2023, 6:54 am
In a case originally filed by a billing manager ,Cardiac Imaging Inc. [read post]
9 Oct 2023, 2:34 pm
Where the contested dividend recap was driven by private equity investors (as is typically the case), the resulting lawsuit will often name the portfolio company’s private equity investors, including the management entity and any implicated funds. [read post]
6 Oct 2023, 9:00 am
Council passed legislation in 2020 prohibiting retailers from discriminating against cash payments, but funding from the city to enforce it didn’t kick in until the new fiscal year. [read post]
5 Oct 2023, 10:09 am
“Associates” of the buyer), thus requiring additional information from private equity funds. [read post]
5 Oct 2023, 9:22 am
“Associates” of the buyer), thus requiring additional information from private equity funds. [read post]
4 Oct 2023, 7:54 am
Arthrex, Inc., 141 S. [read post]
