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- Compliance Programs for Unregistered Investment Companies
- The Patriot Act enhances the powers of the federal government and law enforcement organizations to combat money laundering and terrorism. The new law is very broad and covers not only traditional financial institutions, but also non-bank financial institutions. On September 18, 2002, the U.S. Department of Treasury released its Notice...
- White papers 2003-01-01
- Anti-Money Laundering Compliance Procedures for Private Investment Companies Under the USA Patriot Act
- The USA PATRIOT Act requires all financial institutions including investment companies which are exempted from the registration requirements of the Investment Company Act of 1940, to implement policies and procedures designed to guard against money laundering.
- White papers 2003-05-15
- Anti-Money Laundering Update #02-2 Compliance Programs for Unregistered Investment Companies
- On September 18, 2002, the U.S. Department of Treasury released its Notice of Proposed Rulemaking to issue regulations prescribing the minimum standards for the implementation of an anti-money laundering program for unregistered investment companies (e.g., hedge funds, commodity pools, private equity funds, venture capital funds and real estate investment trusts)....
- White papers 2003-05-08
- 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
Additional Resources
- SEC Sues Value Line Inc. and Two Senior Officers for $24 Million Fraudulent Scheme
- Washington, D.C., Nov. 4, 2009 — The Securities and Exchange Commission today charged New York City-based investment adviser Value Line Inc., its CEO, its former Chief Compliance Officer and its affiliated broker-dealer with defrauding the Value Line family of mutual funds by charging over $24 million in bogus brokerage commissions...
- News items 2009-11-04
- S3 Investment Company Announces Contract with Queen of the Valley Hospital for Installation of COMPLY Enterprise HIPAA Compliance Solution Product
- TEMECULA, Calif. -- S3 Investment Company (OTCBB:SEIH) today announced that TSPartner has reached an agreement with Queen of the Valley Hospital to implement the Securesoft COMPLY enterprise software solution as the comprehensive HIPAA compliance program for the hospital. The installation and implementation of the COMPLY product will take place over...
- Research articles 2004-12-10
- Kayne Anderson MLP Investment Company Repurchases $80 Million in Floating Rate Senior Notes and Confirms Payment of Quarterly Dividend/Distribution as Scheduled
- Kayne Anderson MLP Investment Company (the "Company") (NYSE: KYN) announced today that it has completed the repurchase of $80 million aggregate principal amount of Floating Rate Series L Senior Notes at 101% of par value. The Company decided to utilize cash on hand to repay debt and keep in...
- Research articles 2008-10-10
- MIDDLEFIELD CANADIAN INCOME TRUSTS INVESTMENT COMPANY PCC - Director Declaration.
- Change in Director's Details In compliance with Listing Rule 9.6.14R, Middlefield Canadian Income Trusts Investment Company PCC announces that on 9 November 2006 it was notified by Mr Nicholas Villiers, a Director, that as a result of the acquisition of Intrawest Corporation by Fortress...
- Research articles 2006-11-10
- Paulson Investment Company, Inc. Announces Key Promotions to Executive Management Team
- The Board of Directors of Paulson Investment Company, Inc., ("Paulson") a wholly-owned subsidiary of Paulson Capital Corp. (NASDAQ: PLCC), is pleased to announce several key promotions to the firm's executive management team. Specifically, the senior staff has been expanded with the promotion of Harry Striplin to the newly created...
- Research articles 2007-01-05
- Notes from the CCOutreach National Seminar
- The SEC presented its inaugural CCOutreach National Seminar for Investment Adviser and Investment Company Chief Compliance Officers in November. CCOs currently face a number of issues, from email retention and soft dollar payments to the role of the CCO in performing critical compliance functions. The seminar featured many helpful tips...
- Research articles 2006-02-01
- Virtualisation and Automation | BTalk Australia
- (16min 16) BMC Software is one of a number of businesses offering Business Service Management software. The company has been beating the recession in the US, with strong growth in 2008 and an optimistic outlook for 2009. What’s the secret? The answer might be how the company...
- Blog posts 2009-02-12
- Code of Business Conduct and Ethics
- In view of recent corporate practices that have resulted in a negative impact on the stock market and a loss of investor confidence in corporate America and public company disclosure, Congress passed, and the President signed into law on July 30, 2002, the Sarbanes-Oxley Act of 2002 (the "Sarbanes-Oxley Act"),1...
- White papers 2003-02-01
- Regulatory Compliance for Leading Insurance Firm
- A leading US-based insurance company offers insurance products, investment products, and advisory services. This company had to comply with several SEC Securities and Exchange Commission rules and regulations. Infosys delivered a solution that ensured full compliance, and delivered the project on a low budget and a strict timeframe. Additionally, the...
- Case studies
- SEC Adopts Safe Harbor for Research and Development Companies Under The Investment Company Act
- The article provides information about Rule 3a-8 which is particularly relevant for many biotechnology and other technology companies given it offers those companies qualifying as R&D Companies a new nonexclusive safe harbor from the regulatory requirements of the Act. Companies that raise significant amounts of capital invest the proceeds and...
- White papers 2003-08-01
- E-Security Cuts Costs and Time From Audit Preparation and Review for Fortune 500 Brokerage Firm
- The customer is a Fortune 500 global brokerage firm offering securities and commodities brokerage, asset management, trust services, mutual funds, insurance, and investment banking to individuals. Although the company established well-documented policies to address regulatory requirements, they had no cost-effective way to monitor policy compliance across their multiplatform, multi-vendor IT...
- Case studies
- Certus Software Selected for ''Next Big Thing'' Panel at Enterprise 2005; President and CEO Bruce Johnson to Discuss Certus' Sustainable Compliance Vision and Company Success
- CUPERTINO, Calif. -- Certus Software, Inc., a proven leader in financial compliance and governance software for the enterprise, has been named one of five "fast growth" companies to share corporate vision, strategy and future plans in the "Next Big Thing" panel at the prestigious Enterprise 2005 Conference. The eighth annual...
- Research articles 2005-08-08
- Investment Superhero to the Rescue
- Who better to save investors from their own ignorance about markets than Kaptain Kelmoore? The Kaptain is a superhero cartoon figure and star of a new comic book from Kelmoore Investment Company, a Palo Alto, Calif.-based money management firm. "The Adventures of Kaptain Kelmoore: Defender of Truth, Justice, and...
- Research articles 2002-08-01
- Sheshunoff Information sold to Thompson Publishing Group.(Company Profile)
- Thompson Publishing Group (Washington, D.C.), a publisher of regulatory compliance newsletters and reports for the business, government, legal and academic sectors, has acquired Sheshunoff Information Services (SIS; Austin, TX) from company founders Gabrielle Sheshunoff, other management and investment firm Austin Ventures (Austin, TX). No terms...
- Research articles 2005-09-01
- Innovative Employee Solutions Case Study: Investment And Loan Company
- Identifying a company to outsource payroll and HR administrative services associated with hiring employees. The key factors: A service provider who would monitor and assist with Federal and State regulations and compliance, pay the quarterly payroll taxes, administer the selected benefits and offer a 401K plan. Innovative Employee Solutions IES...
- Case studies
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