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- How The New Rules Affect Investment Companies And Investment Advisers
- The Sarbanes-Oxley Act of 2002 significantly has changed the regulatory environment for public companies. At open meetings held on January 22 and 23, 2003, the SEC approved new rules and rule amendments implementing some important provisions of the Sarbanes-Oxley Act. Kramer Levin attorneys summarize recent developments as they relate to...
- White papers 2003-01-01
- Investment Advisers and Investment Companies: Focus on Compliance
- Each investment adviser is expected to identify compliance requirements and potential conflicts that create risk to the firm and its clients and to design policies and procedures that address these risks. The fund board of each investment company is required to adopt policies and procedures to provide for the oversight...
- White papers 2005-05-10
- SEC Compliance Program Rules For Investment Companies And Investment Advisers
- As investment companies and investment advisers move into their third year of compliance with the Securities and Exchange Commission (SEC's) new rules, the continuing attention by regulators on compliance programs, along with the increasing complexities of portfolio investments and investment management operations, requires sophisticated responses. Many firms are providing such...
- White papers 2008-10-01
- SEC launches exam hotline for advisers; They welcome initiative, as inspections have gotten more frequent.(News)
- Byline: Sara Hansard WASHINGTON - The Securities and Exchange Commission has set up a hotline for investment advisers and investment companies to report complaints about examinations. Lori Richards, director of the SEC's office of compli ...
- Research articles 2005-03-21
Additional Resources
- Cobalis Corp. Appoints Cappello Capital Corp. as Exclusive Strategic Advisor and Investment Banker
- IRVINE, Calif. -- Cobalis Corp. (OTCBB: CLSC), a pharmaceutical company specializing in the development of anti-allergy medications, announced today the appointment of Cappello Capital Corp. as exclusive strategic advisor and investment banker to the Company. Cappello will assist the Company to analyze strategic and financial transactions, including raising capital for...
- Research articles 2005-03-30
- International Gold Resources Retains CRT Capital Group LLC as Its Financial Advisors and Investment Banker
- DENVER -- International Gold Resources Inc. [IGR] (Pink Sheets:IGRU) today announced it has retained CRT Capital Group LLC as its financial advisor and investment banker. CRT will provide IGR with financial advisory services and assist the Company in developing and evaluating strategic and capital market alternatives in the ordinary...
- Research articles 2007-07-31
- Allen & Company to be investment bankers for Aristo International
- NEW YORK--BUSINESS WIRE--April 3, 1996--Aristo International Corp. (NASDAQ Small Cap: ATSP) announced today that Allen & Company Inc. will act as its financial advisor and investment banker."Allen & Company brings to Aristo tremendous experience and insight in the entertainment industry, along with a wealth of strategic relationships to help us...
- Research articles 1996-04-03
- Kayne Anderson MLP Investment Company Senior Notes Rated 'AAA' by Fitch
- NEW YORK -- Kayne Anderson MLP Investment Company's (NYSE:KYN) auction rate senior notes, series E, $60,000,000 aggregate principal amount, offered in $25,000 denominations or any integral multiple thereof, are rated 'AAA' by Fitch Ratings. The ratings are based on asset coverage and senior notes maintenance amount tests, as well as...
- Research articles 2005-12-14
- Fitch Rates Kayne Anderson MLP Investment Company Preferred Shares 'AA'
- NEW YORK -- Kayne Anderson MLP Investment Company's (NYSE: KYN) $75,000,000 of Auction Rate Preferred Stock, series D, offered in $25,000 denominations or any integral multiple thereof, are rated 'AA' by Fitch Ratings. The ratings are based on asset coverage and maintenance amount tests, as well as the quality and...
- Research articles 2005-04-12
- Tarrant Apparel Group's Special Committee of Independent Directors Appoints Law Firm and Investment Bank to Assist in Evaluation of Proposal By Company's Founders to Acquire Outstanding Shares
- LOS ANGELES -- Tarrant Apparel Group (NASDAQ: TAGS) announced today that its Special Committee of Independent Directors has retained the law firm of Bingham McCutchen LLP as its legal advisor and Houlihan Lokey Howard & Zukin as its financial advisor to assist the Special Committee in evaluating the previously announced...
- Research articles 2008-06-13
- FinancialWeb.com Retains Allen and Company Incorporated as Investment Banker Files 10-SB Preparing for Exchange Listing
- ALTAMONTE SPRINGS, Fla.--BUSINESS WIRE--April 16, 1999-- FinancialWeb.com, Inc. (OTCBB: FWEB) today announced that it has entered into an agreement naming Allen & Company as its exclusive strategic advisor and investment banker. Additionally, the Company announced that it has filed a form 10-SB with the U.S. Securities and Exchange...
- Research articles 1999-04-16
- Adviser to Kayne Anderson MLP Investment Company Announces Hiring of Monique Vo as Vice President of Investor Relations
- KA Fund Advisors, LLC ("Kayne Anderson"), which serves as the advisor to Kayne Anderson MLP Investment Company (NYSE: KYN), Kayne Anderson Energy Total Return Fund (NYSE: KYE) and Kayne Anderson Energy Development Company (NYSE: KED) announces the hiring of Monique Vo as Vice President of Investor Relations. Ms. Vo...
- Research articles 2008-03-04
- Earth Search Sciences signs contract with investment bankers
- MCCALL, Idaho--BUSINESS WIRE--March 28, 1995--Earth Search Sciences Inc., a McCall-based high-tech firm specializing in remote sensing, announces the signing of an extensive contract with Graham, Hamilton and Dwyer Inc. a Washington, D.C., merchant and investment banking firm.The firm will serve as Earth Search Sciences' exclusive financial advisor and investment banker.Larry...
- Research articles 1995-03-28
- DataWorld Solutions Signs Exclusive Investment Banking Agreement with Gruntal & Company, L.L.C
- Business Editors FARMINGDALE, N.Y.--BUSINESS WIRE--April 12, 2001 DataWorld Solutions, Inc. (OTCBB: DWLD.BB) (Frankfurt - VRX), announced today that it has retained Gruntal & Co., L.L.C. Gruntal as its exclusive corporate financial advisor and investment banker. Gruntal will provide advice and evaluate potential transactions involving public or private offerings...
- Research articles 2001-04-16
- NetWolves Announces Engagement Letter With Allen & Company
- Business Editors/High-Tech Writers BOHEMIA, N.Y.--BUSINESS WIRE--May 31, 2001 NetWolves Corporation (Nasdaq:WOLV) announced today the retention of Allen & Company as its financial advisor and investment banker. Mr. Walter M. Groteke, Chief Executive Officer of NetWolves commented: "We are pleased that Allen & Company has chosen to represent...
- Research articles 2001-05-31
- Superannuation and investment company...
- Oct 31, 2002 (Money Management - ABIX via COMTEX) Charlie Drummond is the new head of information services at Australian financial services company, AM Corporation. The firm has also appointed Helen Moses at GM of client and advisor support services. Moses has a...
- Research articles 2002-11-01
- How the Helio Buyout Process Went: Virgin Mobile Wanted To Bring In a Retail and Financial Investor
- Virgin Mobile USA bought Helio earlier this year, for a paltry $39 million in equity and getting $50 million in investment from British parent Virgin Group and SK Telecom (NYSE: SKM). That we reported on in detail at that time. Now finally, VMUSA has filed details of how the...
- External links 2008-12-12
- Interstate Hotels & Resorts Agrees to be Acquired by Joint Venture Between Thayer Lodging Group and Jin Jiang Hotels
- Interstate Hotels & Resorts Agrees to be Acquired by Joint Venture Between Thayer Lodging Group and Jin Jiang Hotels Under the agreement, Hotel Acquisition Company, LLC would acquire all of the outstanding common stock and operating partnership units of Interstate for $2.25 per share in an all cash transaction. The...
- News items 2009-12-18
- Ptek Holdings Announces Selection of Jefferies & Company, Inc. as Financial Advisor for the Company Regarding Its Pending EasyLink Services Investment
- Business Editors/High-Tech Writers ATLANTA--BUSINESS WIRE--March 14, 2003 Ptek Seeks Meeting with EasyLink Management Ptek Holdings, Inc. (NASDAQ:PTEK)(www.ptek.com) today announced that it is retaining Jefferies & Company, Inc., as financial advisor regarding its interest in EasyLink Services Corporation (NASDAQ: EASY) and its potential strategic alternatives regarding such an...
- Research articles 2003-03-14
- The Bank of New York Company, Inc.'s Pershing Unit to Provide Customers with Access to Morningstar® Advisor Workstation Enterprise Edition
- JERSEY CITY, N.J. -- Pershing LLC, a member of BNY Securities Group and a subsidiary of The Bank of New York Company, Inc., will provide its introducing broker-dealer customers with access to the MorningstarR Advisor WorkstationSM Enterprise Edition, a powerful web-based application that provides investment professionals with investment planning, client...
- Research articles 2006-06-06
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