Search for: "Matter of Mallon"
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15 Oct 2012, 10:15 am
Please feel free to contact us with any thoughts or questions on these matters. [read post]
22 Feb 2011, 6:44 pm
Please note our new address: Mallon P.C. 150 Spear Street, Suite 825 San Francisco CA 94105 [read post]
20 Jul 2023, 10:44 am
More information available at https://coinalts.xyz/. **** SEC Matters SEC Enforcement Action Against Ripple. [read post]
7 Oct 2021, 6:37 am
. **** SEC Matters New Qualified Client Standard in Effect. [read post]
15 Jul 2020, 4:25 am
. **** SEC Matters Compliance with Regulation Best Interest (Reg BI) was Required as of June 30, 2020. [read post]
21 Jul 2022, 3:02 am
. **** SEC Matters SEC Risk Alert on Material Non-Public Information Compliance Issues. [read post]
5 Apr 2018, 8:24 am
FINRA Matters FINRA Published Regulatory and Examination Priorities Letter for 2018. [read post]
8 Mar 2022, 8:10 am
Cole-Frieman & Mallon LLP Cole-Frieman & Mallon LLP is one of the top investment management law firms in the United States, known for providing top-tier, innovative, and collaborative legal solutions for complex financial services matters. [read post]
8 Mar 2022, 12:10 pm
Cole-Frieman & Mallon LLP Cole-Frieman & Mallon LLP is one of the top investment management law firms in the United States, known for providing top-tier, innovative, and collaborative legal solutions for complex financial services matters. [read post]
16 Oct 2018, 3:09 am
Large-Scale Matters – the CFTC has increased enforcement actions against large-scale matters (i.e. matters that threaten basic market integrity). [read post]
23 Aug 2017, 10:28 am
Digital Asset Matters: CoinAlts Fund Symposium. [read post]
18 Oct 2019, 10:11 am
Cole-Frieman & Mallon’s Anniversary. [read post]
4 Jan 2017, 3:55 pm
This overview includes the following: Annual Compliance & Other Items Annual Fund Matters Annual Management Company Matters Regulatory & Other Changes in 2016 Compliance Calendar **** Annual Compliance & Other Items:Annual Privacy Policy Notice. [read post]
21 Jul 2022, 7:02 am
. **** SEC Matters SEC Risk Alert on Material Non-Public Information Compliance Issues. [read post]
20 Oct 2023, 2:40 pm
Cole-Frieman & Mallon LLP was also a proud sponsor of the Help For Children 2023 Denver Golf Tournament in Littleton, Colorado on September 22, 2023. [read post]
28 Apr 2017, 8:59 am
FINRA bootcamps – FINRA announced three compliance boot camps for may – Dallas (May 11), Memphis (May 17) and Charolette (May 31). **** Bart Mallon is a founding partner of Cole-Frieman & Mallon LLP and focuses his legal practice on the investment management industry. [read post]
5 Jan 2015, 3:31 pm
This overview includes the following: Annual Compliance & Other Items Annual Fund Matters Annual Management Company Matters Regulatory & Other Changes in 2014 Focus for Next Year CFTC Regulation Compliance Calendar **** Annual Compliance & Other Items: New Issue Status. [read post]
20 Mar 2010, 9:10 am
by Bart Mallon, Esq. of Mallon P.C. [read post]
16 Jul 2019, 10:18 am
FINRA Matters FINRA Begins Effort to Simplify Firms’ Digital Experience. [read post]
8 Oct 2011, 9:45 am
**** Cole-Frieman & Mallon LLP provides a variety of services including: hedge fund formation, advisor registration and counterparty documentation, CFTC and NFA matters, seed deals, internal investigations, operational compliance, regulatory risk management, hedge fund due diligence, marketing and investor relations, employment and compensation matters, and routine business matters. [read post]
