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13 Oct 2011, 4:48 pm by Ailyn Cabico
  It excludes an investment company that is registered with the SEC pursuant to the Investment Company Act of 1940 and that makes a public offering of its securities. [read post]
12 Oct 2011, 8:00 pm
 As stated on the Principles'  website,  The Principles of Conduct reflect a recent trend in the management of global challenges. [read post]
12 Oct 2011, 4:40 pm by James Hamilton
The proposal does not evaluate solely whether the risk of the transaction or activity, or management or decision-making with respect to such transaction or activity, rests outside the United States. [read post]
7 Oct 2011, 7:57 am
Governor of Massachusetts (when Romney was Governor) and Trustee of the American University of Afghanistan.2. [read post]
5 Oct 2011, 3:00 am by Kyle Krull
For example, you may appoint one trustee to manage the purse-strings and another to oversee the heirs and gauge their progress. [read post]
27 Sep 2011, 5:44 pm by Francis Pileggi
Key Legal Principles The Court acknowledged the truism of Delaware LLC law that a member-manager of a Delaware limited liability company owes traditional fiduciary duties to the LLC and its members unless limited by the LLC operating agreement. [read post]
27 Sep 2011, 6:57 am by Craig R. Hersch
I ran this by our legal department’s ‘risk management’ team and the risk manager said no. [read post]
26 Sep 2011, 12:53 am by Hedge Fund Lawyer
For the purposes of this Rule, the requirement that the book-running lead manager announce the impending release or waiver of a lo [read post]
21 Sep 2011, 5:12 pm by INFORRM
However, a broadcast company faces considerable financial consequences if its licence is withdrawn, or even if there is uncertainty over the security of its licence. [read post]
21 Sep 2011, 3:31 am by Hedge Fund Lawyer
 The Rule specifically indicates that custody includes any capacity (such as general partner of a limited partnership, managing member of a limited liability company or a comparable position for another type of pooled investment vehicle, or trustee of a trust) that gives the investment adviser or a related person “legal ownership of or access to client funds or securities. [read post]
20 Sep 2011, 9:00 pm by Hedge Fund Lawyer
In accounts that contain only your clients’ funds and securities, under your name as agent or trustee for the clients. 2. [read post]
20 Sep 2011, 12:05 pm by Kim Zetter
In announcing the bankruptcy filing, DigiNotar’s parent company took pains to distance itself from the breach. [read post]
18 Sep 2011, 8:21 pm by Ken
., sounds familiar, both to anyone who deals with con men and anyone who has read our first four posts about David Bell and the UST companies. [read post]
17 Sep 2011, 8:43 am by Juan Antunez
Risk Management for ILIT Trustees: Legislative Fix: F.S. 736.0902 As explained in the Legislative Staff Analysis of CS/SB 926, effective July 1, 2010, Florida enacted F.S. 736.0902, statutorily eliminating ILIT trustee liability with respect to (1) insurable interest issues related to the ownership of life insurance and (2) investing in life insurance policies. [read post]
17 Sep 2011, 7:58 am by Mark S. Humphreys
Fong Chun Huang, Individually and as Trustee for Teppan Yaki Management. [read post]
14 Sep 2011, 11:31 am by Bob Eisenbach
That led many to wonder whether the same ruling would be extended to managers of Delaware limited liability companies ("LLCs"), the LLC equivalent of a corporation's directors. [read post]
1 Sep 2011, 11:58 am
Moon that should have alerted the company to her allegedly illegal activity. [read post]
30 Aug 2011, 5:57 pm by Randall Reese
(stock traded on the OTC “Pink Sheets” under the symbol WTEZ.PK) asking that the company's management be removed and replaced by a trustee. [read post]