On Thursday, May 7, 2009, 11:00 a.m., the Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises will hold a hearing on: “Perspectives on Hedge Fund Registration” The Committee will be offering a live webcast of the hearing.
The Securities and Exchange Commission brought its first insider trading enforcement action involving credit default swaps. Renato Negrin, a former portfolio manager at hedge fund investment adviser Millennium Partners L.P., and Jon-Paul Rorech, a salesman at Deutsche Bank Securities Inc., are charged with insider trading in credit default swaps of VNU N.V., an international holding […]
Crystal M. Consonery, PhD, CCEP shared the experiences of Home Depot during the 2008 Corporate Compliance & Ethics Week. The goal was increasing awareness of the Corporate Compliance department. So they decided to use Corporate Compliance & Ethics Week to launch their departmental awareness and branding. One of Home Depot’s eight core values is “Doing […]
While FINRA has a very strict limitation on advertisements focusing on procedures, investment advisers have a principles driven approach to limitations on advertising. To start, an advertisement is any communication addressed to more than one person that offers (1) analysis concerning a security, (2) any information to used in making a determination to buy to […]
Can a lawyer hire a third person to send a “friend request” to a witness? According to an opinion from the Philadelphia Bar Association’s Professional Guidance Committee the answer is no. Although the information on someone’s Facebook profile is discoverable, a lawyer can’t try to access the page through deception. Although imperfect, I liked this […]
The Society of Corporate Compliance & Ethics is promoting the week of May 3-9, 2009 as Corporate Compliance & Ethics Week.
The fi360 Fiduciary Score is a quantitative evaluation of how well a fund meets a minimum set of due diligence criteria. The score can quickly help identify a list of Mutual Funds and Exchange Traded Funds that are worth further research in your selection process. You can also use the score as part of your […]
AB 1825, (California Government Code 12950.1) mandates that employers who do business in California and employ 50 or more employees provide two hours of sexual harassment prevention training to supervisors located in California at least once every two years. Kaplan Eduneering offered a webinar: What You Should Know About California AB 1825 – Harassment Prevention […]
The Swine Flu has spread in the United States with about 100 confirmed cases in over 10 states. There has even been one confirmed death. These are still very small numbers. Keep in mind that the CDC estimated that about 36,000 people died of flu-related causes each year, on average, during the 1990s in the […]
Florida fund manager Arthur Nadel was indicted Tuesday on criminal charges for allegedly soliciting hundreds of millions of dollars in investor money under false pretenses and misappropriating client funds. Mr. Nadel, 76 years old, was charged in a 15-count indictment with mail fraud, securities fraud and wire fraud. “It’s a much more complex story than […]
- Proposed Anti-Money Laundering Regulations for Investment Advisers and Fund Managers
- Management Fee “Waiver” Tax Treatment
- Compliance Bricks and Mortar for August 21
- Hiring Relatives Could Be An Illegal Bribe
- Weekend Reading: Rain
- Compliance Bricks and Mortar for August 14
- On line portals for fundraising
- Updates on Private Placements
- Upcoming Anti-Money Laundering Rules for Private Funds
- A Win for Compliance Officers
Dodd-Frank’ed Real Estate
- Yes, the SEC Wants Real Estate Fund Managers to Register
- Are Real Estate Fund Managers Registered with the SEC?
- Are you an Investment Company?
- Real Estate Funds and the Investment Company Act
- Are you an Investment Adviser?
- Custody and Private Funds
- Private Equity Real Estate Top 50 – 2015 Edition of Who is Registered