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6 Oct 2017, 6:09 am
Posted by Ron Kaniel, University of Rochester Simon Business School, on Monday, October 2, 2017 Tags: Accounting, Agency costs, Asset management, Bonuses, Fund performance, Incentives, Institutional Investors, International governance, Management, Mutual funds, Pay for performance, Sweden Delaware’s Loss of Top Spot for Lawsuit Climate Posted by Ning Chiu, Davis Polk & Wardwell LLP, on Monday, October 2, 2017 … [read post]
13 Jun 2022, 3:45 pm by Bennett Cyphers
Most of the clients are the usual suspects in the data trade—marketing firms, hedge funds, real estate companies, and other data brokers. [read post]
23 Apr 2009, 4:20 am
Furthermore, federal and state government regulators frequently lack the resources and political support to perform effective oversight functions or bring enforcement actions. [read post]
10 Nov 2011, 10:45 am by Stikeman Elliott LLP
CCO report The report also states that there is often no evidence that a registered firm’s Chief Compliance Officer (CCO) has submitted an annual report to the firm’s board of directors, or equivalent, that assesses compliance by the firm and its registered individuals with securities law. [read post]
17 Feb 2011, 9:08 pm
”[6] MPEP § 707.07(f) incorrectly states that an examiner “should” answer all material traversed; it’s a statutory “must. [read post]
25 Feb 2009, 11:54 pm
The musical interlude occurred in Alito's major ruling in Pleasant Grove City, Utah v. [read post]
27 Jun 2018, 8:08 am by Hedge Fund Lawyer
” This is a broad definition, and because of the stated or not-stated intent of creating a distribution structure for tokens, the syndicates described above may well be considered “underwriters” in this context and need to find another exemption on which to rely. [read post]
20 Oct 2023, 2:40 pm by CFM Admin
October 20, 2023 Clients, Friends, and Associates: As we end the third quarter and enter the fall season, we would like to highlight some of the recent industry updates and occurrences we found to be both interesting and impactful. [read post]