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21 Oct 2010, 12:13 pm
Prior to joining Capital in 1985, Haaga was a partner in the Dechert law firm and was a senior attorney for the Division of Investment Management of the SEC. [read post]
21 Oct 2010, 8:09 am
The SEC also proposed rules relating to disclosure by institutional investment managers of their proxy voting on executive compensation and other matters. [read post]
17 Oct 2010, 1:56 pm
At a recent meeting of the PCAOB's Standing Advisory Group (SAG), a panel discussed potential challenges to auditing. [read post]
16 Oct 2010, 5:46 pm
Further, because the principals of the hedge fund adviser typically have significant amounts of their own capital invested in the funds they advise, and because the performance fees earned by the adviser typically are subject to high-water marks, the fee structure for advisers is designed to encourage long-term profits and to discourage excessive short-term risk taking.The FSA proposal seeks to include the senior management and primary risk takers within the scope of the Code. [read post]
6 Oct 2010, 3:18 am
Gartner Identity and Access Management Summit Novemb [read post]
4 Oct 2010, 8:16 am
Josh Rosner, a well respected financial analyst, issued a client advisory in October, advising of widespread violations of pooling and servicing agreements on mortgages. [read post]
4 Oct 2010, 7:42 am
This Newsletter also appears as a post on our website Taber Law Group every Monday. [read post]
30 Sep 2010, 10:23 am
September 30, 2010 - Benjamin Lee Grant, of Boston, Massachusetts, allegedly ran his brokerage firm, Sage Advisory Group, LLC, as a massive investment scam. [read post]
29 Sep 2010, 10:36 am
Because managers typically hold less well-diversified portfolios than shareholders, having significant investments of both human and financial capital in their employers [read post]
27 Sep 2010, 1:49 am
In explaining its ten principles, the report states the Commission’s belief that "the respective roles of boards, management and shareholders needed greater understanding," and the principles primary focus is the respective roles of each of these three groups. [read post]
24 Sep 2010, 7:00 am
In the Matter of Morgan Asset Management, Inc. [read post]
16 Sep 2010, 1:48 pm
Greenberg was the CEO of his investment advisory firm Tactical Allocation Services LLC that made investment recommendations to clients, and the head portfolio manager for his other investment advisory firm Agile Group, LLC, which managed the Agile hedge funds. [read post]
15 Sep 2010, 9:11 am
In a letter to the SEC-CFTC Advisory Committee on Emerging Regulatory Issues, the Managed Funds Association said that the proposed reforms will prevent market disruptions during times of market stress, help restore confidence in the markets and limit harm to investors.The industry would also support refinements to these rules that would address concerns that most trading halts to-date have been triggered by erroneously reported prices, not actual market activity. [read post]
14 Sep 2010, 7:55 am
They can also create tension between management and shareholder groups. [read post]
13 Sep 2010, 6:07 pm
Without the franchisor's consent, mediation on a group, class or collective basis cannot take place. [read post]
11 Sep 2010, 9:26 pm
Section 2 of the statute excepts the following cases: (a) practitioners' services-in the case of practitioners' services provided personally by, or under the supervision of, another practitioner in the same group practice as the referring practitioner; (b) in-office ancillary services-in the case of health or health related items or services (i) that are furnished personally by the referring practitioner, personally by a practitioner who is a member of the same… [read post]
11 Sep 2010, 10:04 am
As a Standing Committee, this group has the ability to meet in between sessions, in order to act "in an advisory capacity to the officers of the General Convention and to the Executive Council . . . [read post]
30 Aug 2010, 7:14 am
…Why invest in the future? [read post]
27 Aug 2010, 11:50 am
What Changes Now Rule 14a-11 New Rule 14a-11 will apply to companies reporting under the Exchange Act, including companies subject to the Investment Company Act of 1940. [read post]
13 Aug 2010, 8:43 am
“No one seems to know what this crackdown means, but I feel my business will have to change,” said Susie Hollands of Vingt Paris, a property advisory and management company. [read post]
