Search for: "Mallon v. Employment Division"
Results 1 - 11
of 11
Sorted by Relevance
|
Sort by Date
18 Jul 2014, 10:40 am
COLE-FRIEMAN & MALLON LLPwww.colefrieman.com July 10, 2014 FATCA Transitional Period. [read post]
16 Apr 2020, 4:55 am
SEC Division of Trading and Markets Releases FAQ on Regulation Best Interest (Reg BI). [read post]
17 Jun 2014, 4:00 am
Such was the case in Mallon v Parness, 167 A.D.2d 614. [read post]
20 Oct 2023, 2:40 pm
The SEC’s Division of Enforcement Director, Gurbir Grewal, noted the “attention-grabbing power” of hypothetical performance on prospective investors who may conflate the advertised strategies with their own investment objectives. [read post]
22 Dec 2020, 9:43 am
Last year, Cole-Frieman & Mallon hosted a well attended presentation and networking event with regulatory compliance firm Aspect Advisors. [read post]
8 Dec 2021, 7:27 am
Clients, Friends, Associates: As we near the end of 2021, we have developed a checklist to help managers effectively oversee the business and regulatory landscape for the coming year. [read post]
31 Dec 2019, 8:13 am
Below is our quarterly newsletter. [read post]
8 Dec 2021, 11:27 am
Clients, Friends, Associates: As we near the end of 2021, we have developed a checklist to help managers effectively oversee the business and regulatory landscape for the coming year. [read post]
18 Dec 2023, 2:48 pm
The Division of Examinations publishes an annual list of priorities to signal its interest in particular compliance risk areas, of which advisers should be mindful. [read post]
15 Aug 2011, 2:32 am
For purposes of this section: (1) Affiliated Family Office means a family office wholly owned by family clients of another family office and that is controlled (directly or indirectly) by one or more family members of such other family office and/or family entities affiliated with such other family office and has no clients other than family clients of such other family office. (2) Control means the power to exercise a controlling influence over the management or policies of a company, unless such… [read post]
23 May 2010, 8:31 pm
Full Text of PFIARA of 2010 (requiring Hedge Fund Registration) The following is the full text of the Private Fund Investment Advisers Registration Act of 2010 which was part of the recently passed Senate financial regulation bill. [read post]
