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27 Jul 2011, 5:01 am by Hedge Fund Lawyer
Cole-Frieman & Mallon LLP provides advice on a broad range of corporate, regulatory and litigation matters including hedge fund formation, adviser registration, CFTC and NFA matters, ISDAs and counterparty documentation, loan trading and distressed debt transactions, seed deals, employment and compensation matters and regulatory inquiries. [read post]
21 May 2019, 1:20 pm by CFM Admin
” *** About Cole-Frieman & Mallon LLP Cole-Frieman & Mallon LLP is a premier boutique investment management law firm, providing top-tier, responsive and cost-effective legal solutions for financial services matters. [read post]
26 Oct 2014, 7:08 pm by nedaj
Before we begin, Cole-Frieman & Mallon LLP is pleased to announce that Lilly A. [read post]
22 Mar 2010, 9:02 pm by Hedge Fund Lawyer
www.hedgefundlawblog.com Text of the Mallon P.C. comment is provided below. **** [Footnotes ommitted] March 22, 2010 VIA ELECTRONIC MAIL AND COURIER Mr. [read post]
18 Jul 2014, 10:40 am by nedaj
COLE-FRIEMAN & MALLON LLPwww.colefrieman.com July 10, 2014 FATCA Transitional Period. [read post]
11 Apr 2011, 2:28 pm by Hedge Fund Lawyer
As part of the Hedge Fund Networking Summit Webcast Series, Bart Mallon of Mallon P.C. led an hour long presentation on compliance matters for California based hedge fund managers.   [read post]
1 Nov 2011, 5:05 am by Hedge Fund Lawyer
About Cole-Frieman & Mallon LLP Cole-Frieman & Mallon LLP is a premier boutique investment management law firm, providing top-tier, responsive and cost-effective legal solutions for financial services matters. [read post]
15 Oct 2012, 10:15 am by Hedge Fund Lawyer
Please feel free to contact us with any thoughts or questions on these matters. [read post]
7 Aug 2011, 1:06 pm by Hedge Fund Lawyer
He routinely works with managers who trade commodities and futures on corporate and regulatory matters. [read post]
2 Aug 2010, 2:08 am by Hedge Fund Lawyer
Ongoing Compliance – At the end of every quarter, managers should take time to address any ongoing compliance matters.   [read post]
22 Feb 2011, 6:44 pm by lsico
Please note our new address: Mallon P.C. 150 Spear Street, Suite 825 San Francisco CA 94105 [read post]
16 Oct 2020, 6:41 am by Hedge Fund Lawyer
. **** SEC Matters SEC Expands the “Accredited Investor” and “Qualified Institutional Buyer” Definitions. [read post]
16 Apr 2020, 4:55 am by Hedge Fund Lawyer
  Please note COVID-19 related matters appear at the end of this update. **** SEC Matters SEC Releases 2020 Examination Priorities. [read post]
26 Jan 2012, 4:01 am by Hedge Fund Lawyer
The firm provides a full suite of legal services to the investment management community, including: hedge fund, private equity fund, venture capital fund, and mutual fund formation, adviser registration, counterparty documentation, SEC, CFTC, NFA and FINRA matters, seed deals, hedge fund due diligence, employment and compensation matters, and routine business matters. [read post]
17 Apr 2012, 7:56 am by Hedge Fund Lawyer
About Cole-Frieman Mallon & Hunt LLP Cole-Frieman Mallon & Hunt LLP is a premier boutique investment management law firm, providing top-tier, responsive, and cost-effective legal solutions for financial services matters. [read post]
22 Apr 2019, 4:53 pm by CFM Admin
. **** SEC Matters SEC Publishes Examination Priorities for 2019. [read post]
29 Jan 2020, 4:55 am by Hedge Fund Lawyer
Cole-Frieman & Mallon LLP Cole-Frieman & Mallon LLP is a premier boutique investment management law firm, providing top-tier, responsive, and cost-effective legal solutions for financial services matters. [read post]
15 Jul 2020, 4:25 am by Hedge Fund Lawyer
. **** SEC Matters Compliance with Regulation Best Interest (Reg BI) was Required as of June 30, 2020. [read post]
5 Apr 2018, 8:24 am by CFM Admin
FINRA Matters FINRA Published Regulatory and Examination Priorities Letter for 2018. [read post]