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21 Jul 2011, 2:00 am
File No. 3-13655, Initial Decision (Sept. 8, 2010). [2] Consulting Services Group, LLC, Advisers Act Release No. 2669 (Oct 4, 2007). [3] Trautman Wasserman & Company, Inc. [read post]
18 Jul 2011, 2:00 am
The following is our monthly featured post from Terry Nelson, Peter Fetzer and Michael Primo of Foley & Lardner filling you in on the latest developments in the world of investment management. [read post]
14 Jul 2011, 9:09 pm
Everyone is a Risk Manager There is no sector of the investment management industry that is immune from risk management. [read post]
14 Jul 2011, 11:06 am
Section 203(e) of the Advisers Act: If an investment adviser fails to reasonably supervise an employee or any other person subject to the adviser’s supervision, and that person violates the federal securities laws, then the SEC may take action against such investment adviser In the Matter of Pegasus Investment Management, LLC, Peter Bortel, and Douglas Saksa (.pdf) (June 15, 2011) Pegasus VP Peter Bortel, under the supervision of President and CCO Douglas… [read post]
13 Jul 2011, 8:30 am
Regardless, for any future investors/clients, SEC registered investment advisers (and those groups that will be registering within the next 9 months) should make sure that the new qualified client definition is included in all subscription documents and other investment advisory contracts. [read post]
7 Jul 2011, 1:39 pm
We have extensive experience representing investors in arbitration and litigation disputes with securities broker-dealers and investment advisory firms, and have recovered tens of millions of dollars for investors. [read post]
5 Jul 2011, 8:30 am
The proxy advisory firm, ISS, also reluctantly recommended that shareholders vote in favour of the transaction. [read post]
4 Jul 2011, 2:59 pm
Further, banks should be granted the same exemption from municipal advisor registration as registered investment advisors are for comparable advisory activities. [read post]
1 Jul 2011, 7:01 am
Within many states, there are probably more public and private interest groups now wishing to see it more drastically curtailed – along the lines recently announced by the Australian government or, indeed, even more restrictively. [read post]
1 Jul 2011, 7:01 am
Within many states, there are probably more public and private interest groups now wishing to see it more drastically curtailed – along the lines recently announced by the Australian government or, indeed, even more restrictively. [read post]
29 Jun 2011, 3:22 pm
The defendant, the Vanguard Group Inc., is an investment management company organized under the laws of and headquartered in Pennsylvania. [read post]
29 Jun 2011, 6:27 am
The Supreme Court decision in Janus Capital Group v. [read post]
28 Jun 2011, 6:18 am
In a June 10 speech to the Social Investment Forum, SEC Commissioner Luis Aguilar observed that advisory votes appear to be facilitating an increase in communication between issuers and shareholders, and has resulted in positive changes to many companies' executive pay practices. [read post]
24 Jun 2011, 7:12 am
The investment banking industry is dominated by a group of the so-called “bulge bracket” firms. [read post]
20 Jun 2011, 4:47 am
JCM provides Janus Investment Fund with investment advisory services, but the two entities maintain legal independence. [read post]
17 Jun 2011, 1:08 am
In Janus Capital Group, Inc. and Janus Capital Management LLC v. [read post]
10 Jun 2011, 9:40 pm
Several other companies have had significant interactions with the Libyan Investment Authority, including Och-Ziff Capital Management Group, JP Morgan Chase, and Carlyle Group. [read post]
9 Jun 2011, 3:40 pm
Jacen Dinoff of KCP Advisory Group says "you're not going to see a bank file Chapter 11 and sit in bankruptcy winding down its assets while depositors petition as creditors to get percentage recoveries on life savings. [read post]
8 Jun 2011, 5:46 am
Protection Measures: The Growing Disconnect (PDF) http://tinyurl.com/3mxdgae (Balachander Krisnamurthy, Konstantin Naryshkin, Craig Wills) Social Media Briefing Papers - http://tinyurl.com/3dy9ldz (Connie Crosby) The eDiscovery Month in Review – May 2011 - http://tinyurl.com/3f223nu (Orange Legal Technologies) Unisphere/MarkLogic Survey: “Post-Relational” Era Arrives, Unstructured Data driving Big Data - http://bit.ly/kpAGFP (Thomas Wilson) Technology and Tactics 4 Considerations… [read post]
16 May 2011, 9:47 am
Laura Keller, a San Francisco financial consultant, said she recommended Gilliams to Morfopoulos and another Bay Area investor group based on a recommendation she'd got from Blackhawk Wealth Solutions, a San Diego-based investment advisory firm. [read post]
