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6 Dec 2010, 5:08 am
Many professionals affected include consultants, investment bankers, hedge-fund and mutual fund traders and analysts among others. [read post]
16 Nov 2011, 11:23 am
What would a hedge fund or investment banker turn to you for? [read post]
4 Jan 2012, 11:23 am
What would a hedge fund or investment banker turn to you for? [read post]
4 Jan 2012, 11:23 am
What would a hedge fund or investment banker turn to you for? [read post]
20 Apr 2017, 4:10 pm
Firstly, BHAM, with over US$15 million currently under its management, is a large hedge fund manager. [read post]
29 Jul 2014, 5:57 pm
LPL Financial was alleged to have deficient supervision in the sale of alternative investment products, including REITs, oil and gas partnerships, business development companies (BDC’s), hedge funds, managed futures, and other illiquid pass through investments. [read post]
22 Jul 2014, 7:00 am
Moreover, in 2006, the NASD found that Josephberg opened approximately 28 accounts for sever hedge fund clients in order to market time mutual funds. [read post]
1 Jun 2012, 5:06 am
They’re former derivatives traders, risk analysts, compliance officers and hedge fund quants. [read post]
6 Oct 2017, 10:13 am
Investors chasing yield or large institutions like pension funds and hedge funds are clamoring for CDO investments. [read post]
12 Dec 2018, 9:35 am
“The district court held that [the workers] failed to state a duty‐of‐prudence claim under ERISA because a prudent fiduciary could have concluded that the three alternative actions proposed in the complaint — disclosure, halting trades of IBM stock, or purchasing a hedging product — would do more harm than good to the fund. [read post]
22 Jun 2011, 9:18 am
Retrieving the information is sometimes a problem, Millar said, in that some European banks can take months to provide the information, and hedge funds do not always report their holdings as rigorously as they should, he said. [read post]
9 Oct 2015, 6:28 am
Several the firms Page has been associated with have been expelled by FINRA including John Thomas Financial which was run by Anastasios “Tommy” Belesis who recently agreed to be banned from the securities industry when the SEC accused him of defrauding investors in two hedge funds. [read post]
6 Jul 2012, 3:48 pm
(For example, while mutual fund advertising continues to be very regulated, hedge funds are getting to avail of fewer restrictions imposed on their advertising.) [read post]
24 Feb 2017, 5:35 am
Posted by Kobi Kastiel, Co-editor, HLS Forum on Corporate Governance and Financial Regulation, on Thursday, February 23, 2017 Tags: Boards of Directors, Capital markets, Corporate governance, Disclosure, Hedge funds, Institutional Investors, Long-Term value, Mergers & acquisitions, Private equity, Schedule 13D, Securities regulation, Shareholder activism, Shareholder value, Short-termism, Transparency [read post]
17 Feb 2017, 5:40 am
Liekefett, Vinson & Elkins LLP, on Thursday, February 16, 2017 Tags: Antitakeover, Charter & bylaws, Director nominations, Engagement, Hedge funds, Management, Poison pills, Proxy contests, Proxy fights, Schedule 13D, Shareholder activism, Shareholder elections, Small firms, Takeover defenses [read post]
8 Dec 2006, 9:13 am
The committee castigated "institutional investors, hedge funds, and activist groups, some of whom have goals that differ from those of shareholders generally. [read post]
23 Dec 2009, 10:54 pm
Under this swap arrangement, offshore investors like a bank or a hedge fund sells their stocks to Wall Street firms near the time for dividend payments. [read post]
22 Mar 2010, 8:36 am
If you own non-traditional investments such as deposits with hedge funds or offshore bank accounts, you need to ensure that proper reporting is done. [read post]
13 Jan 2010, 10:52 am
Pressing forward, the complex bankruptcy case continues with strife as the appointed equity committee, comprised of 6 Washington Mutual shareholders and one New Jersey Representative from Eopus Creek Value (a hedge fund), is challenged by Washington Mutual Inc., WaMu’s now bankrupt holding company. [read post]
22 May 2012, 8:01 am
Government lawyer said they have Gupta's phone records that show he illegally passed corporate secrets to his friend, Raj Rajaratnam, who ran a hedge fund. [read post]
