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5 Nov 2009, 11:10 am
Thus, the Amendment sets up state oversight of investment advisers with up to $100 million in assets under management. [read post]
4 Nov 2009, 7:59 am
As a general matter most groups opposed the proposed rules for some reason or another. [read post]
3 Nov 2009, 5:14 pm
Who does that managing? [read post]
2 Nov 2009, 1:24 pm
The Wall Street Journal published three pieces on Jones over the course of the weekend: a Friday article analyzes the implications the case might have for the directors of mutual funds, many of whom are concerned that Jones might create a new standard for investment advisory fees; an opinion piece in Sunday's paper argues that a rejection of the current practice for investment advising could open a flood of litigation, with negative implications for the "vast… [read post]
30 Oct 2009, 2:01 am
Joe Clark - data from different vendors and from groups in different jurisidictions do present an issue for some managers. [read post]
27 Oct 2009, 7:45 am
Those engagements are often perceived as presenting greater liability risks than M&A advisory engagements for private companies, and that's probably true most of the time, but a recent Massachusetts federal court decision provides a sobering reminder to investment banks that this isn't always the case. [read post]
26 Oct 2009, 3:43 am
To this end, the BMA has established an SPI Advisory Group, comprised of a broad cross-section of practitioners, who assisted in the finalisation of the Bulletin and are to develop guidance in the context of current market developments, review the SPI legislation and provide guidance for future amendments.A full copy of the BMA Bulletin can be found by clicking here. [read post]
19 Oct 2009, 1:30 pm
But an increasing number of companies have begun to offer web-based software-management applications that include database storage controlled and managed by the vendor. [read post]
17 Oct 2009, 5:22 pm
Sociologist Elise Boulding has said that we live in a “200 year present,” a “social space which reaches into the past and into the future” -- a space in which “we can move around directly in our own lives and indirectly by touching the lives of the young and old around us. [read post]
13 Oct 2009, 11:31 am
She also represented a securities dealer in a custodial agreement relating to $50 billion in securities and has counseled the United States branch offices of a European bank on fiduciary duties with respect to their trust, investment advisory and custodial accounts. [read post]
12 Oct 2009, 6:01 am
Investors associated with a wide range of proponent groups--public pension funds, labor unions, social investment funds, religious groups and foundations--filed 48 resolutions, the same number as in 2008, of which 29 came to votes. [read post]
8 Oct 2009, 2:54 am
A central reason is that foundations and endowments (two of the largest groups of hedge fund investors) are not really in a position to be an agent of change because they are examining the funds they are already invested in. [read post]
7 Oct 2009, 5:14 pm
The group stated that the reauthorization would provide “desperately needed” funding for airport and airway system improvements, and the extensions that have been passed in the last two years are hampering the necessary investments for national airspace infrastructure. [read post]
2 Oct 2009, 9:51 am
A recent report has confirmed what we suspected - brokers and groups of brokers are moving to the investment advisory side of the business, leaving FINRA and its regulatory nightmare behind them. [read post]
23 Sep 2009, 8:16 am
Williamson will testify before the Commission’s Outsourcing, Privatization and Risk-Management Advisory Group, chaired by Alexandria business executive Roy O. [read post]
22 Sep 2009, 6:23 am
(Editor's Note: This post is based on a Gibson, Dunn & Crutcher LLP client memorandum by Michael Bopp and Aditi Prabhu.) [read post]
17 Sep 2009, 7:39 pm
As a result, ACOs have not been widely adopted despite the Medicare Payment Advisory Commission's ("MedPAC") strong support for such organizations. [read post]
5 Sep 2009, 8:00 am
Duane Rath Professor Emeritus of Accounting University of Chicago Booth School of Business Board Member MainStay Group of Funds [read post]
5 Sep 2009, 5:00 am
Officials in OCIE's investment management group received credible information on Madoff from a hedge fund manager. [read post]
3 Sep 2009, 6:28 pm
I have been impressed by the commitment to compliance that many companies have made - both in terms of their corporate culture and their investment in compliance systems. [read post]
