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8 Dec 2021, 11:27 am
Conversations regarding the annual review may raise sensitive matters, and advisers should ensure that these discussions are protected by attorney-client privilege. [read post]
8 Dec 2021, 7:27 am
Conversations regarding the annual review may raise sensitive matters, and advisers should ensure that these discussions are protected by attorney-client privilege. [read post]
7 Oct 2021, 6:37 am
. **** SEC Matters New Qualified Client Standard in Effect. [read post]
13 Jul 2021, 5:54 am
**** SEC Matters SEC Revises Qualified Client Threshold. [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]
16 Oct 2020, 6:41 am
. **** SEC Matters SEC Expands the “Accredited Investor” and “Qualified Institutional Buyer” Definitions. [read post]
16 Sep 2020, 3:09 am
The Amendments do not change this limitation. **** Cole-Frieman & Mallon is a boutique law firm focused on providing institutional quality legal services to the investment management industry. [read post]
27 Aug 2020, 9:53 am
We will be providing further updates on timing and other matters as they develop. **** Bart Mallon is a founding partner of Cole-Frieman & Mallon LLP. [read post]
29 Jul 2020, 3:22 am
CFM Sample ATE WaiverDownload Other similar posts on this topic: Monitoring NAV Triggers Amidst Volitility **** David Rothschild is a partner of Cole-Frieman & Mallon LLP and routinely focuses on ISDA matters. [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]
16 Apr 2020, 4:55 am
Please note COVID-19 related matters appear at the end of this update. **** SEC Matters SEC Releases 2020 Examination Priorities. [read post]
14 Apr 2020, 1:11 pm
Moreover, CPOs should thoroughly document the activation and application of any relevant business continuity policy in response to COVID-19 as the matter could easily become an item of interest on future NFA exams. [read post]
14 Apr 2020, 7:06 am
. **** Bart Mallon is a founding partner of Cole-Frieman & Mallon LLP. [read post]
17 Mar 2020, 9:48 am
. **** David Rothschild is a partner of Cole-Frieman & Mallon LLP and routinely focuses on ISDA matters. [read post]
22 Feb 2020, 3:00 am
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]
6 Feb 2020, 6:17 am
**** Bart Mallon is a founding partner of Cole-Frieman & Mallon LLP. [read post]
29 Jan 2020, 4:55 am
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]
27 Jan 2020, 5:02 am
. **** Bart Mallon is a founding partner of Cole-Frieman & Mallon LLP. [read post]
31 Dec 2019, 8:13 am
Conversations regarding the annual review may raise sensitive matters, and advisers should ensure that these discussions are protected by attorney-client privilege. [read post]
18 Oct 2019, 10:11 am
Cole-Frieman & Mallon’s Anniversary. [read post]
