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- NASD Issues Interpretive Letter Prohibiting The Use of Related Performance Information In Hedge Fund Sales Material
- On October 2, the National Association of Securities Dealers, Inc issued an interpretive letter to the Securities Industry Association. Among the conclusions set forth in the Interpretation was the NASD's view that Rule 2210 of its Conduct Rules prohibits a member from publishing or distributing hedge fund sales materials that...
- White papers 2003-10-01
- SEC Hedge Fund Report
- "On September 29, 2003 the staff of the Division of Investment Management of the Securities and Exchange Commission, with the assistance of the Divisions of Corporation Finance, Enforcement and Market Regulation, issued a report entitled ""Implications of the Growth of Hedge Funds"". The Report is the result of the Staff's...
- White papers 2003-10-01
- 2003 Sound Practices for Hedge Fund Managers
- The Sound Practices contain recommendations which are intended to provide to investment managers of "Hedge Funds" ("Hedge Fund Managers") a framework for internal policies, practices and controls which will enhance Hedge Fund Managers' ability to manage their operations, satisfy their responsibilities to investors and address unexpected market events or losses....
- White papers 2003-10-01
Additional Resources
- Upstart firm comes to Street's defense. (New York, NY-based legal firm Schulte Roth & Zabel; Wall Street)
- Schulte Roth Zabel, just 28 years old, finds financial law brings big dividends When Paul Roth surveyed his firm's inaugural appearance this summer on The American Lawyer's list of the nation's 100 highest- grossing firms, he was slightly unnerved. &Schulte Roth Zabel, just 28 years...
- Research articles 1997-10-20
- Schulte Roth & Zabel LLP's David Brodsky Joins Credit Suisse First Boston as General Counsel for the Americas
- NEW YORK--BUSINESS WIRE--Sept. 10, 1999--
- Research articles 1999-09-10
- Madoff investors race to the courthouse
- NEW YORK Fortune -- Victims of Bernard Madoff's alleged Ponzi scheme sued three big names over their role in the estimated $50 billion fraud: a high-profile investment firm, its managing partner and its auditor. Investors filed a federal lawsuit in Manhattan on Tuesday against Ascot Partners, a New York City...
- News items 2009-08-07
- CNBC's Herera to Lead Hedge Fund Regulation Talk At Managed Funds Association Conference
- WASHINGTON--BUSINESS WIRE--July 8, 1999-- Sue Herera of CNBC will moderate a discussion about regulatory issues after LTCM on July 13 at 10:30 am at The Plaza Hotel. She will be joined by industry luminaries Steve Thieke, chairman of RiskMetrics Group, former managing director in charge of global corporate risk...
- Research articles 1999-07-08
- Terrance O'Malley to Join Fried Frank
- NEW YORK -- Fried, Frank, Harris, Shriver & Jacobson LLP announced today that Terrance J. O'Malley has joined the firm as a partner in the Corporate Department. He joins Fried Frank from Schulte, Roth & Zabel LLP where he was a partner in the Investment Management Group. "We are...
- Research articles 2006-06-05
- Triarc Special Committee Selects Advisors
- NEW YORK--BUSINESS WIRE--Nov. 13, 1998--Triarc Companies, Inc. (NYSE:TRY) announced today that the Special Committee formed to evaluate, negotiate and make a recommendation to the full Board of Directors with respect to the $18.00 per share going-private proposal it has received from Nelson Peltz and Peter May, Triarc's Chairman...
- Research articles 1998-11-13
- Triarc Committee retains legal, financial advisers
- NEW YORK -- Diversified soft-drink concern and Arby's franchisor Triarc Cos. Inc. said its special committee, formed to weigh the $18-pershare tender offer it recently received from chairman Nelson Peltz and president Peter May to take the company private, retained Schulte Roth & Zabel LLP to serve as legal counsel...
- Research articles 1998-11-30
- On-Site Omnibus
- Duncan Sproule was named executive chef for the Dining Services department at the State University of New York at Morrisville. Sproule was a chef at Queens College in Kingston, Ontario . . Flik International has signed five law firms as clients. In addition to Patton Boggs, Washington, D.C., Flik now...
- Research articles 2001-05-21
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