Search for: "Industrial Commission Special Fund"
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2 Sep 2011, 1:02 pm
In a letter to the SEC, the hedge fund industry asked the Commission to clarify that the definition of special entity in the proposed business conduct standards for security-based swap dealers and major security-based swap participants does not apply to investment vehicles, such as hedge funds, in which the special entity may invest. [read post]
12 Dec 2011, 9:40 am
Thus, the fund manager can trade shares of other financial instruments.Broadly, the Commission is acting because, compared with competing global financial centers, most notably the United States, the European venture capital industry is fragmented and dispersed, which has chilled investor interest in venture capital funds. [read post]
27 Jun 2019, 6:26 am
Except, that is, for one very special industry: the investment company industry. [read post]
2 Feb 2012, 8:11 am
In response to combat hedge fund fraud, the SEC has implemented a new computer system that specializes in screening for fraudulent activities such as falsified track records, false financial statements to its investors, and false reporting on monthly returns. [read post]
28 Dec 2007, 12:20 am
Click here to review the Special Commission’s Report.The Special Commission, comprised of individuals from the state legislature, insurance industry and consumer groups, had some dissent within its ranks. [read post]
18 Jan 2012, 1:26 pm
Thomas Conner, formerly a partner with Sutherland Asbill and Brennan, specializes in securities-based and commodities-based exchange traded funds (ETFs) and insurance-based investment products, including variable annuities and variable life insurance. [read post]
Senators Nelson and Warren urge SEC-CFTC Study on High Fees and Commissions on Managed-Futures Funds
10 Jun 2014, 6:51 am
Senator Nelson chairs the Special Committee on Aging, of which Senator Warren is a member.The legislators emphasized that individual investors, especially senior investors looking to find a suitable place to place their retirement savings, should be made aware of these managed-future funds’ fees and commissions and the draining effect of such upon their investments. [read post]
21 Feb 2014, 5:01 am
Senator Nelson chairs the Special Committee on Aging, of which Senator Warren is a member.The legislators emphasized that individual investors, especially senior investors looking to find a suitable place to place their retirement savings, should be made aware of these managed-future funds’ fees and commissions and the draining effect of such upon their investments. [read post]
16 Dec 2010, 5:19 pm
Given the unique features of funds, as well as the size of the fund industry, argued the ICI, the SEC cannot rationally rely on those studies without considering whether there are meaningful differences between funds and operating companies that require a different analysis. [read post]
28 Jun 2011, 11:52 am
In this way venture capital funds would benefit from economies of scale and specialized sectoral expertise would emerge. [read post]
16 May 2011, 10:04 am
The hedge fund industry agrees that $50 million is a reasonable maximum net capital requirement because it signifies a threshold level of financial expertise. [read post]
29 Sep 2013, 6:11 pm
Robert Gist (Gist) was recently fined $5.4 million by the Securities and Exchange Commission (SEC) and barred from association with any broker-dealer by the Financial Industry Regulatory Authority (FINRA). [read post]
13 Oct 2009, 2:07 am
Cole-Frieman specializes in Loan Trading and Distressed Debt Transactions, ISDAs, Soft Dollars and Commission Management arrangements, and Wage and Hour Law Matters among other legal matters which hedge fund managers face on a day to day basis. [read post]
6 Sep 2022, 9:03 am
On September 1, 2022 the Securities and Exchange Commission (SEC) announced through a press release that the commission had filed an enforcement action against the managing partners of Broadway Strategic Return Fund, LP, Curtis Wayne Cronin and John Joseph. [read post]
1 Sep 2009, 7:30 am
The Securities and Exchange Commission (SEC), the North American Securities Administrators Association (NASAA), and the Financial Industry Regulatory Authority (FINRA) have all recently warned that leveraged exchange traded funds (ETFs) are very dangerous investments and not suitable for most retail investors. [read post]
23 Jul 2009, 2:47 am
Today we have another guest post from Karl Cole-Frieman who specializes in providing legal advice to hedge funds and other alternative asset managers. [read post]
13 Mar 2012, 6:21 am
We will certainly hear more on these issues in the near term… **** Futures industry SRO committee announces initial recommendations to strengthen current safeguards for customer segregated funds March 12, Chicago – A special committee composed of representatives from the futures industry’s self-regulatory organizations (SRO) has proposed a series of initial recommendations for changes to SRO rules and regulatory practices designed to… [read post]
16 Feb 2010, 10:43 am
” The new specialized units are: Asset Management — focusing on investment advisors, investment companies, hedge funds and other private equity funds. [read post]
16 Jan 2019, 9:00 am
Additional activities in this industry are Unit Investment trust funds, special purpose vehicles investing in collateralized mortgage obligations, and mortgage real estate investment trusts. [read post]
22 Jan 2015, 6:18 am
In a comprehensive report on prosperity and the sharing of prosperity in the industrial democracies, an all-star commission has examined and made recommendations for public and private initiatives to improve GDP growth and fair distribution of prosperity. [read post]
