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11 Dec 2023, 9:05 pm
Less well-known but of greater societal significance is Delaware equity’s contribution to matters of social justice. [read post]
1 Dec 2023, 10:00 am
The post New Compliance Requirement – Beneficial Ownership Interest Reporting appeared first on Rubric Legal LLC. [read post]
15 Nov 2023, 6:26 am
The SEC settled charges against registered investment adviser D. [read post]
14 Nov 2023, 9:01 pm
In addition, FinTech investment adviser Titan Global Capital Management USA LLC agreed to pay more than $1 million combined in a civil penalty, disgorgement, and prejudgment interest to settle charges that it violated the marketing rule. [read post]
9 Nov 2023, 9:01 pm
For example, foreign investment advisers have faced numerous hurdles in registering with the SEC, the pending move to T+1 settlement in the equity markets raises potential mismatches with foreign jurisdictions that will need to be resolved, and some of the SEC’s shortened filing deadlines may present challenges for those in foreign time zones. [read post]
8 Nov 2023, 5:46 am
“Investors often suffer losses due to unsuitable investment recommendations by their brokers and don’t realize they have recovery options,” said D. [read post]
6 Nov 2023, 1:55 pm
The claim further alleges that Ages Financial Services LTD unsuitably invested its clients in high-risk alternative investments, iCap Equity, LLC and GWG L bonds. [read post]
6 Nov 2023, 4:16 am
You’ve done nothing wrong, and you’d like to continue as a shareholder rather than have your investment liquidated. [read post]
24 Oct 2023, 9:01 pm
If the public doesn’t think the system is fair, at a minimum, they are not going to invest their hard-earned money. [read post]
20 Oct 2023, 2:40 pm
The event brought together top investment managers and allocators to discuss specific investment ideas and the fund investment environment. [read post]
20 Oct 2023, 8:33 am
The governor also said she will push for tax credits for new and used electric vehicles in the next legislative session to help meet the state’s climate goals. ( ASSOCIATED PRESS ) —Compiled by SNCJ Managing Editor KOREY CLARK [read post]
17 Oct 2023, 2:39 am
In this case, the sales commissions were estimated at 9%, according to the Form D. [read post]
13 Oct 2023, 2:21 am
That’s why risk management is such an important issue in contemporary businesses. [read post]
9 Oct 2023, 1:52 pm
LLC, No. 23-51 (U.S. [read post]
3 Oct 2023, 9:01 pm
SEC press release │SEC complaint | SEC order Investment adviser agrees to settle disclosure claims for SPAC-related activity In the Matter of Monroe Capital Management Advisors (A.P. [read post]
2 Oct 2023, 8:17 pm
Saskia Mehlhorn, our fellow Houstonian who’s the director of knowledge and research services at Norton Rose Fulbright, nita Cumello, global client, Director and Director of well being global large law firms at Thomson Reuters and Bree Buchanan, Senior Advisor at krill strategies, LLC, and co founder of the well being in law movement. [read post]
2 Oct 2023, 4:22 am
Such provisions are especially prevalent with smaller, member-managed LLCs as opposed to larger, manager-managed LLCs having some number of passive investors. [read post]
28 Sep 2023, 1:01 pm
The company filed an amended Form D to raise capital from investors in 2021. [read post]
22 Sep 2023, 11:18 am
Additionally, Noard allegedly was an investment adviser for CL Wealth Management LLC, also based in Menomonee Falls, Wisconsin, from 2011 to 2013. [read post]
22 Sep 2023, 11:18 am
Additionally, Noard allegedly was an investment adviser for CL Wealth Management LLC, also based in Menomonee Falls, Wisconsin, from 2011 to 2013. [read post]
