Search for: "Matter of Mallon"
Results 41 - 60
of 141
Sorted by Relevance
|
Sort by Date
12 Jul 2018, 8:53 am
Digital Asset Matters We see many thought-provoking items in the digital asset sector as the industry moves towards greater institutional infrastructure. [read post]
27 Oct 2017, 2:16 am
CFTC Matters: CFTC Grants SEF and DCO Registration to LedgerX. [read post]
20 Apr 2023, 1:20 pm
For details, contact info@colefrieman.com. **** SEC Matters SEC Charges Staking-as-a-Service Provider. [read post]
13 Jul 2021, 5:54 am
**** SEC Matters SEC Revises Qualified Client Threshold. [read post]
26 May 2015, 2:50 pm
In 2015, the SEC will focus on its efforts on: matters of importance for retail investors and investors saving for retirement, including whether the information, advice, products, and services being offered are consistent with applicable laws, rules and regulations; market-wide risks, such those created by clearing agencies, cybersecurity compliance and controls, and equity order routing conflicts; and, using data analytics to identify signals of potential illegal activity. [read post]
26 May 2015, 2:50 pm
In 2015, the SEC will focus on its efforts on: matters of importance for retail investors and investors saving for retirement, including whether the information, advice, products, and services being offered are consistent with applicable laws, rules and regulations; market-wide risks, such those created by clearing agencies, cybersecurity compliance and controls, and equity order routing conflicts; and, using data analytics to identify signals of potential illegal activity. [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]
14 Apr 2020, 7:06 am
. **** Bart Mallon is a founding partner of Cole-Frieman & Mallon LLP. [read post]
6 Jul 2023, 11:20 am
Cole-Frieman & Mallon LLP is a leading investment management law firm known for providing top-tier, innovative, and collaborative legal solutions for complex financial service matters. [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]
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]
22 Jul 2016, 11:01 am
www.colefrieman.com July 22, 2016 Clients and Friends: We hope that this message finds you well and that you are enjoying the first months of summer. [read post]
15 Dec 2017, 9:01 am
This update includes the following: Cryptocurrency Leadership Annual Compliance & Other Items Annual Fund Matters Annual Management Company Matters Regulatory & Other Changes in 2016 Compliance Calendar **** Cryptocurrency Leadership: This year digital assets and cryptocurrencies have emerged in force as a separate and distinct asset class. [read post]
15 Dec 2017, 9:01 am
This update includes the following: Cryptocurrency Leadership Annual Compliance & Other Items Annual Fund Matters Annual Management Company Matters Regulatory & Other Changes in 2016 Compliance Calendar **** Cryptocurrency Leadership: This year digital assets and cryptocurrencies have emerged in force as a separate and distinct asset class. [read post]
4 Dec 2013, 9:07 am
This overview includes the following: * Regulatory & Other Changes in 2013 * Adviser Registration & Compliance * CFTC Regulation * Annual Compliance & Other Items * Annual Fund Matters * Annual Management Company Matters * Compliance Calendar **** Regulatory & Other Changes in 2013: Foreign Account Tax Compliance Act (“FATCA”). [read post]
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]
15 Nov 2009, 5:43 pm
By Bart Mallon, Esq. [read post]
6 Feb 2020, 6:17 am
**** Bart Mallon is a founding partner of Cole-Frieman & Mallon LLP. [read post]
27 Apr 2017, 10:13 am
Below is our quarterly update which went out via email today to our firm’s clients and friends. [read post]
15 Dec 2022, 4:00 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]
