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- Capital Markets Regulatory Highlights Vol. 5
- This article includes: SEC issuing rules implementing the Sarbanes-Oxley Act; Proposed rule on SAR reporting for mutual funds; Report to Congress on applying the USA Patriot Act to investment companies; NASD notice to members regarding sale of hedge funds to retail investors; and SEC final rule on transactions of investment...
- White papers 2003-01-31
- 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
- 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
- United States, Changes to the Mutual Funds Regime
- Over the past year, the booming US economy has led to an enormous influx of US investor dollars into mutual funds. This explosion in the popularity of mutual funds has been accompanied by significant changes in the way mutual funds do business. Sophisticated investors have demanded novel investment vehicles to...
- White papers 2003-01-01
- Final Rule: Investment Company Mergers
- The US Securities and Exchange Commission is planning to amend the rule under the Investment Company Act of 1940 that permits mergers and other business combinations between certain affiliated investment companies. The amendments would expand the types of business combinations permitted by the rule and make it available for mergers...
- White papers 2002-07-18
- 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
- Providing Strategic Insurance Industry Consulting Services to Institutional Investment Firms
- The institutional investment firms, commonly referred to as capital management firms, have significantly grown in number over the last several years. The analysts at these investment management firms need answers to significant technical comments being made by executives of insurers and reinsurers, especially when the institutional investor has a significant...
- White papers 2004-07-01
- Business Administration/Finance
- The world of financing offers a multitude of career choices. Among the most common are financial analysts, financial planners and personal financial advisers. Financial analysts and planners work primarily in the corporate realm offering services to corporations, industry and governments, while personal financial advisers assist individuals in reaching their long-...
- White papers 2004-11-17
- 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
- Heritage Bank of Commerce Announces Election of William Del Biaggio III to the Board and His Departure From the Bank's Employ
- SAN JOSE, Calif.--BUSINESS WIRE--Aug. 19, 1996--Heritage Bank of Commerce today announced the election of William J. Del Biaggio III, a key member of the Bank's original founding group, to the Board of Directors of the Bank and his resignation from employment with the Bank as Vice President.Del Biaggio III will...
- Research articles 1996-08-19
- LONDON FINANCE & INVESTMENT GROUP PLC - AGM Statement.
- LONDON FINANCE & INVESTMENT GROUP P.L.C. Announcement of results of the Annual General Meeting The Annual General Meeting of the Company was held today and all resolutions were passed. ...
- Research articles 2006-09-29
- State Street Appoints David Puth to Lead Investment Research, Securities Finance and Trading Activities Worldwide
- BOSTON -- State Street Corporation (NYSE: STT), the world's leading provider of financial services to institutional investors, announced today that David Puth has been named to a newly created position as head of State Street's investment research, securities finance and trading activities worldwide. Puth, age 51, will report to Jay...
- Research articles 2008-08-20
- Daniel Oh, COO of Renewable Energy Group, to Be Keynote Speaker at Infocast's Biodiesel Finance & Investment Summit
- Daniel Oh, the COO of Renewable Energy Group REG, has agreed to join Infocast's Biodiesel Finance & Investment Summit as the event's Keynote Speaker. Mr. Oh, whose company accounted for 25% of the country's biodiesel production in 2006 and is currently in the process of going...
- Research articles 2008-01-04
- S3 Investment Company Announces Appointment of Chief Financial Officer and New Corporate Headquarters
- S3 Investment Company, Inc. (PINKSHEETS: SIVC), a holding company with two subsidiaries doing business in the China market, today announced that its Board of Directors has appointed Bruce Ruberg to serve as the company's chief financial officer and secretary. Mr. Ruberg, who has over 25 years experience as a finance...
- Research articles 2007-03-29
- Kayne Anderson MLP Investment Company Files Notice With SEC to Redeem All of Its Outstanding Auction Rate Senior Notes in Early July 2008
- Kayne Anderson MLP Investment Company (the "Company") (NYSE: KYN) announced today that it has filed with the Securities and Exchange Commission a notice of its intention to redeem $505 million aggregate principal amount of its outstanding Series A, B, C, E, and F auction rate senior notes ("ARNs") in early...
- Research articles 2008-05-17
- ADB helps finance water infrastructure development facility in PRC.
- RDATE:07032002 MANILA, PHILIPPINES -- The Asian Development Bank ADB has approved a loan without sovereign guarantee of up to US$35 million to the China Water Utilities Group CWUG, an investment holding company to be established in Shanghai by the China Water...
- Research articles 2002-07-03
- Suez Lyonnaise Des Eaux Announces Creation of the Latin American Investment Company
- PARIS--BUSINESS WIRE--October 1, 1998-- Ticker: Bloomberg: LY FP Reuters: LYOE.PA Dow Jones: S.SLX The Suez Lyonnaise des Eaux group is launching an investment company to co-finance equity investments in Latin American projects related...
- Research articles 1998-10-01
- Paulson Investment Company, Inc. to Launch Most Ambitious Expansion Initiative in the Firm's History
- Paulson Investment Company, Inc., a wholly-owned subsidiary of Paulson Capital Corp. (NASDAQ: PLCC), today announced that it is preparing to embark on the largest expansion initiative in the firm's 37-year history. With an objective of increasing the size of its national retail sales force within 18-24 months to support...
- Research articles 2007-08-02
- Dean Foods Company announced that Cory Olson, Senior Vice President—Finance and Treasurer, plans to resign from his position effective July 18, 2006, to serve as a managing partner of StoneBridge Real Estate Partners, a Dallas-based private equity fi
- Dean Foods Company announced that Cory Olson, Senior Vice President--Finance and Treasurer, plans to resign from his position effective July 18, 2006, to serve as a managing partner of StoneBridge Real Estate Partners, a Dallas-based private equity firm. Olson was responsible for building and maintaining relationships with the investment and...
- Research articles 2006-06-19
- Unigene Elects Peter Slusser and Bruce Morra, Senior Financial and Pharmaceutical Executives, to Board of Directors
- FAIRFIELD, N.J. -- Unigene Laboratories, Inc. (OTCBB: UGNE) has elected Peter Slusser and Bruce Morra to its Board of Directors. With these additions, which are effective immediately, the Board of Directors will consist of a majority of independent directors as required by AMEX and NASDAQ. E[acute accent]Mr. Slusser has extensive...
- Research articles 2006-02-15
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