Search for: "Matter of Mallon"
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23 Aug 2017, 10:28 am
Digital Asset Matters: CoinAlts Fund Symposium. [read post]
8 Jun 2017, 4:04 pm
Durie v Gardiner In an encouraging judgment for responsible media and bloggers (no irony intended), Mallon J refused to strike out the defence of qualified privilege, which was pleaded as “neutral reportage or, alternatively, responsible communications on matters of public interest”. [read post]
19 May 2017, 9:49 am
Why does it matter? [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]
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]
31 Mar 2017, 8:11 am
It is important for managers with questions on their trademarks and other intellectual property to discuss these matters with counsel. **** Bart Mallon is a founding partner of Cole-Frieman & Mallon LLP and focuses his legal practice on the investment management industry. [read post]
17 Mar 2017, 2:56 am
We also (personally) believe that FINRA could better spend its time focused on matters that its member firms are asking to be addressed. [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]
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]
21 Jul 2016, 9:01 pm
” The McIver statement is an effort to close the matter with simplistic apologetics. [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]
11 Apr 2015, 5:49 am
But if Elle Mallon’s cry of misgender was made just to screw with people, and is really one totally ironic gag, then it’s brilliant. [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]
26 Oct 2014, 7:08 pm
Before we begin, Cole-Frieman & Mallon LLP is pleased to announce that Lilly A. [read post]
18 Jul 2014, 10:40 am
COLE-FRIEMAN & MALLON LLPwww.colefrieman.com July 10, 2014 FATCA Transitional Period. [read post]
17 Jun 2014, 4:00 am
To further complicate the matter, the records of the Rockland County Personnel Office indicated that Mallon was appointed Sergeant effective June 1, 1988. [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]
22 Nov 2013, 5:14 pm
Press release can be found here. **** 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 Nov 2013, 5:24 pm
. **** 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]
