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7 Nov 2024, 2:30 pm by Doug Cornelius
Cassidy stated that the target for examinations is 3,000 a year. [read post]
23 Apr 2023, 9:01 pm by renholding
Good morning, Chairman McHenry, Ranking Member Waters, and members of the Committee. [read post]
4 Apr 2013, 6:48 pm by nedaj
States may have different rules regarding electronic K-1s, so funds should check with their counsel or service providers whether they may still be required to send state K-1s on paper. [read post]
7 Feb 2011, 5:56 pm by Hedge Fund Lawyer
As we discussed in our post on NFA annual compliance obligations, commodity pool operators will need to submit annual audited reports to the NFA by March 31 of this year. [read post]
15 Dec 2022, 8:00 am by CFM Admin
Although the project is being conducted in a purely experimental fashion using simulated data, the pilot can be seen as one of the first steps taken by a governmental agency towards creating a central bank digital currency.SEC v. [read post]
15 Dec 2022, 4:00 am by CFM Admin
Although the project is being conducted in a purely experimental fashion using simulated data, the pilot can be seen as one of the first steps taken by a governmental agency towards creating a central bank digital currency.SEC v. [read post]
30 Dec 2010, 6:00 am by Kara OBrien
UK branches of firms whose home state is within the EEA are not required to apply the Code as their home state will be required to apply equivalent provisions under CRD3. [read post]
27 Jan 2016, 9:15 am by Guest Blogger
  But I think the precise words chosen by the Court reflect a hedge, and a reluctance to jump back into the very constitutional thicket from which it was in the process of extricating itself – the thicket of constitutionalized claims about the proper organization of economic life. [read post]
21 May 2024, 9:01 pm by renholding
This should make the Final Rule less disruptive for managers of private funds such as private equity, credit, real estate and hedge funds than the 2016 rule, but there are certain important points for managers to focus on. [read post]
31 Jan 2011, 7:05 pm by Badrinath Srinivasan
As a result, choice of law and jurisdiction rules potentially expose firms that do business nationally or internationally to oppressive law in any of the US states. [read post]
14 May 2024, 10:15 pm by Ryan Goodman
This includes documents recently disclosed as a result of the settlement of Penebaker v. [read post]
18 Jul 2011, 2:00 am by Kara OBrien
A foreign private adviser is any investment adviser who (1) has no place of business in the United States; (2) has fewer than 15 clients and investors in the United States in private funds advised by the adviser; (3) has aggregate assets under management attributable to clients in the United States and investors in the United States in private funds advised by the investment adviser of less than $25 million; and (4) does not hold itself out generally to the U.S.… [read post]
29 Feb 2012, 5:54 am by Rob Robinson
 bit.ly/zwruTK (Ron Friedmann) Cost of Converting (Electronically Stored Information) Jardin v. [read post]
24 Sep 2018, 1:02 pm by Dennis Crouch
We must be clear, lest we perpetuate the current state. [read post]
2 Aug 2015, 5:10 pm by Kevin LaCroix
”   Judge Rakoff also rejected the argument that the allegedly misleading statements about the company’s business and management were mere “opinion” or “puffery,” stating that “where (as here alleged) the statements were made repeatedly in an effort to reassure the investing public about the Company’s integrity, a reasonable investor could rely on them as reflective of the true state of affairs at the company. [read post]