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10 Sep 2014, 8:35 am
An Economic and Social Council resolution mandated the creation of an advisory group of eminent persons. [read post]
9 Sep 2014, 7:38 am
The below is part II of guest posting by Ben Shobert and Damjan DeNoble, partners at Rubicon Strategy Group, LLC, a strategy advisory firm for healthcare companies going into China and Southeast Asia and the co-authors of HealthIntelAsia.com, a website dedicated to Asia and China healthcare business strategy. [read post]
8 Sep 2014, 3:48 am
Until recently the only foreign hospital WFOE was Landseed International Hospital, a Shanghai 100 bed facility set up by Taiwan’s Landseed International Group, about which its superintendent admitted had managed to “roughly” break even and that due to high investment costs and low returns, Landseed is still the only Taiwanese company to set up a fully owned hospital in China since 2011. [read post]
5 Sep 2014, 6:00 am
”The Asset Management Unit has undertaken an enforcement initiative to shed more light on undisclosed compensation arrangements between investment advisers and brokers. [read post]
4 Sep 2014, 3:19 am
The recent announcement that a prominent proxy advisory firm [Institutional Shareholders Services (ISS)] is urging the ouster of most of the Target Corporation directors because of the perceived “failure…to ensure appropriate management of [the] risks” as to Target’s December 2013 cyber-attack is another driver that should put directors on notice to proactively address the risks associated with cyber-attacks. [read post]
3 Sep 2014, 5:50 am
The Securities and Exchange Commission has been focused on fees charged by investment advisers and fund managers. [read post]
3 Sep 2014, 4:38 am
The SEC first set up a 10-calendar day inquiry period in 1977 but, after hearing from an advisory committee that recommended a longer inquiry period the agency in 1983 changed it to 20-calendar days. [read post]
27 Aug 2014, 5:48 pm
If convicted, the Court must impose a reasonable sentence under federal sentencing statutes and the advisory United States Sentencing Guidelines. [read post]
15 Aug 2014, 5:42 am
The rule bars an investment firm from managing a state’s assets for two years if the company, or certain of its executives, make more than a nominal donation to a state official with power over state contracts with investment advisors. [read post]
5 Aug 2014, 11:35 am
Graves and WFS charged clients fees that were much higher than the 2% annual management fee listed in its investment management agreement. [read post]
4 Aug 2014, 6:00 pm
NAI Global provides a full-range of corporate real estate services, including brokerage and leasing, property and facilities management, real estate investment and capital market services, due diligence, global supply chain consulting and related advisory services. [read post]
4 Aug 2014, 2:34 pm
The Commission’s complaint alleged that defendant Bard, an investment adviser, and his solely-owned company Vision Specialist Group LLC had violated the federal securities laws through fraudulent misrepresentations regarding client investments, account performance and advisory fees, and by Bard’s creation of false client account statements, forgery of client documents. [read post]
24 Jul 2014, 7:44 am
Her new book Litigating International Investment Disputes – A Practitioner Guide has just been published by Brill-Nijhoff. [read post]
24 Jul 2014, 5:04 am
Rowe Price Group, Inc. reported 18 percent growth in investment advisory revenue in the second quarter and an even greater increase in profit compared to the same quarter last year. [read post]
18 Jul 2014, 3:31 pm
****Cole-Frieman & Mallon LLP provides legal services for hedge fund managers and other groups within the investment management industry. [read post]
15 Jul 2014, 6:27 am
Mustaphalli sold the investment through his registered investment advisory firm, Mustaphalli Advisory Group. [read post]
8 Jul 2014, 9:35 am
Ruggie, is the chair of the Institute for Human Rights and Business International Advisory Board, and is the Berthold Beitz Professor in Human Rights and International Affairs at Harvard’s Kennedy School of Government and Affiliated Professor in International Legal Studies at Harvard Law School. [read post]
3 Jul 2014, 6:21 am
On June 30, 2014, the staff of the Securities and Exchange Commission's (the "Commission") Division of Investment Management and Division of Corporation Finance (the "Staff") issued much-anticipated guidance regarding proxy advisory firms, in the form of 13 Questions and Answers. [read post]
27 Jun 2014, 6:19 am
The SEC prohibits investment firms from providing paid services to a government client for two years after a contribution by the firm or an employee to candidates or officials who could influence the management of public assets. [read post]
25 Jun 2014, 8:49 am
According to the SEC, the firm’s founder and another individual later pocketed some of the transferred investor proceeds to enrich themselves.The SEC alleges that Weston Capital Asset Management LLC and its founder and president Albert Hallac illegally drained more than $17 million from a hedge fund they managed and transferred the money to a consulting and investment firm known as Swartz IP Services Group Inc. [read post]
