to talk to them.” But after 13 years of putting out global searches for managers, only a handful of Canadians have answered his call. Author: BiC Editorial Board Print…
file on a quarterly basis NFA Form PR, which consists of the Commodity Futures Trading Commission’s Form CTA-PR together with additional information relating to the trading programs offered by the…
a national true-crime television show on Parker’s scheme to kill his wife and Capnerhurst. According to the SEC’s complaint filed in federal court in Columbia, S.C., once a joint account…
Written by: Jay B. Gould On September 17, 2013, the Securities and Exchange Commission (“SEC”) announced enforcement actions against 23 firms for short selling violations as the agency increases…
in the 2008 guidance on company websites should be used to determine whether a particular social media outlet is an appropriate channel of distribution for purposes of Regulation FD. In…
San Francisco is the premiere Bay Area investor conference benefiting local and national education and other children’s causes. For more information and to register, please visit www.excellencesf.org or click…
and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) issued a Risk Alert on business continuity and disaster recovery planning for investment advisers. In the aftermath of Hurricane Sandy,…
is over, and wait six months before commencing the “private” offering. A new Form D would need to be filed for the private offering under Rule 506(b) once that offering…
and examining investment advisers and private funds. The SEC also plans to provide non-proprietary Form PF data about large hedge funds to the International Organization of Securities Commission for its…
Notes on Prevention and Detection of Money Laundering and Terrorist Financing in the Cayman Islands (“Guidance Notes”) provide important guidelines for anti-money laundering compliance. Under the Cayman anti-money laundering regime,…
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