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14 Feb 2019, 4:44 am
In order to take advantage of the TPR firms and funds need to make a notification to the UK Financial Conduct Authority (FCA) or UK Prudential Regulation Authority (PRA) as appropriate before the end of 28 March 2019. [read post]
31 Jan 2019, 9:54 am
The most recent was filed on 12/7/2017, alleging unsuitable investments and that he never discussed any transactions with the client during the time period 2/13/2006 through 12/31/2016. [read post]
18 Mar 2018, 12:59 pm
CISCA places significant restrictions on the asset classes in which a CIS can invest as well as concentration limits on CIS portfolio exposure. [read post]
14 Mar 2018, 1:26 am
CISCA places significant restrictions on the asset classes in which a CIS can invest as well as concentration limits on CIS portfolio exposure. [read post]
26 Sep 2017, 9:01 pm
How many different portfolios could your money possibly be invested in? [read post]
17 Sep 2017, 7:30 pm
Before you invest in one or both of the offerings by the trusts, you should read the prospectus in that registration statement related to that offering and other documents that The National Collegiate Funding LLC has filed with the SEC for more complete information about The National Collegiate Funding LLC, the trusts, the securitization transactions, the student loans and the offerings. [read post]
20 Mar 2014, 9:54 am
The remaining income payments can vary depending on the performance of the managed portfolio. [read post]
12 Sep 2013, 8:09 am
Frequently, the combination of the investment management fees to run the underlying investment portfolio plus the insurance charges drive a variable annuity’s annual costs above 2 percent a year. [read post]
15 Jan 2013, 3:16 pm
With the AIFMD, all investment funds in the EU fall into one of the following two categories: They are either UCITS (undertakings for collective investment in transferable securities) or hedge funds and other types of alternative investment funds. [read post]
13 Nov 2012, 11:54 am
Prudential-Bache Securities, Inc., 719 F. [read post]
13 Sep 2012, 5:18 pm
Kosman noted that two other restaurant chains which were part of Bain’s investment portfolio – Burger King and Dominos – had rough times after the PE firms exited. [read post]
22 Jun 2011, 6:07 pm
BELOW THE FOLD IS TEXT VERSION OF DATABASE OF DEBT COLLECTORS __________________________________________________________________________________ 1ST CREDIT OF AMERICA LLC 300 N ELIZABETH ST STE 220-B CHICAGO, IL 60607 6464 INVESTMENTS LLC 1625 S IRIS WY LAKEWOOD, CO 80232-6347 A COMPLETE FINANCIAL INC 2016 OGDEN ST DENVER, CO 80205 AAA COLLECTORS INC DBA TRIPLE CHECK INC 2950 N ACADEMY BLVD UNIT 201 COLORADO SPRINGS, CO 80917 Aargon Agency Inc 3160 S Valley VW STE… [read post]
22 Jun 2011, 6:07 pm
BELOW THE FOLD IS TEXT VERSION OF DATABASE OF DEBT COLLECTORS __________________________________________________________________________________ 1ST CREDIT OF AMERICA LLC 300 N ELIZABETH ST STE 220-B CHICAGO, IL 60607 6464 INVESTMENTS LLC 1625 S IRIS WY LAKEWOOD, CO 80232-6347 A COMPLETE FINANCIAL INC 2016 OGDEN ST DENVER, CO 80205 AAA COLLECTORS INC DBA TRIPLE CHECK INC 2950 N ACADEMY BLVD UNIT 201 COLORADO SPRINGS, CO 80917 Aargon Agency Inc 3160 S Valley VW STE… [read post]
30 Aug 2010, 3:10 pm
Truland Service Corp., 56 Fed.Appx. 108, 110 (4th Cir.2003); Prudential Securities, Inc. v. [read post]
5 Feb 2010, 6:05 am
The Volcker Rules would limit the ability of banks to own, invest in, or sponsor a hedge fund or private equity fund, or to engage in “proprietary trading. [read post]
22 Jan 2010, 6:00 am
For example, an executive may be limited to unloading no more than 20% of his or her portfolio of equity incentives in any given year. [read post]
19 Dec 2009, 5:27 am
(2) In which organ of the corporation is that ultimate power of decision vested? [read post]
11 Dec 2009, 11:38 am
The Council must also issue formal recommendations to the SEC and other Council members to adopt heightened prudential standards for the firms they regulate in order to mitigate system risk. [read post]
22 Nov 2009, 9:05 am
Public, private and union pension funds, mutual funds, private investment funds (including hedge funds), insurance companies, banks, endowments, and sovereign wealth funds are subject to varying levels of regulation, have distinct investment horizons and strategies, and exhibit varying levels of interest in the governance of portfolio companies. [read post]
8 Jul 2009, 11:16 pm
In making an "investment comparison" the Baird Vice President and attorney falsely represented that income paid from a structured settlement is taxed at ordinary income when in fact it is income tax free pursuant to the terms of either IRC 104(a)(1) or IRC104(a)(2). [read post]
