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40 Act Blog
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About The '40 Act Blog. Seward and Kissel LLP. Securities and Exchange Commission (SEC). Investment Company Institute (ICI). Financial Industry Regulatory Authority (FINRA). Subscribe to our Newsletter. Enter your email address:. Follow us on Twitter. Subscribe to this blog's feed. OCIE Multi-Branch Adviser Initiative Risk Alert. Continue reading "OCIE Multi-Branch Adviser Initiative Risk Alert" ». Posted at 11:29 AM in Compliance. Posted at 01:06 PM in Investment Companies. Two recent settlements betwee...
40actblog.com
SEC's Division of Investment Management Provides Cybersecurity Guidance - 40 Act Blog
http://www.40actblog.com/2015/04/secs-division-of-investment-management-provides-cybersecurity-guidance.html
About The '40 Act Blog. Seward and Kissel LLP. Securities and Exchange Commission (SEC). Investment Company Institute (ICI). Financial Industry Regulatory Authority (FINRA). Subscribe to our Newsletter. Enter your email address:. Follow us on Twitter. Subscribe to this blog's feed. Laquo; SEC Commissioner Gives Speech on the Application of SIFI to Large Investment Managers. Adviser Charged with Improper Expense Allocations Among Fund Clients ». 0160;security controls and processes currently in place;.
imdealsblog.com
Azimut Acquires Lifestyle Financial Planning Services - IM Deals - Investment Management Deals Blog - Seward & Kissel LLP
http://www.imdealsblog.com/2015/08/azimut-acquires-lifestyle-financial-planning-services.html
IM Deals - Investment Management Deals Blog - Seward and Kissel LLP. 2014 Year in Review. Subscribe to our Newsletter. Enter your email address:. Follow us on Twitter. Subscribe to this blog's feed. Laquo; AIG To Acquire First Principles Capital Management. Sun Life completes acquisition of Prime Advisors ». Azimut Acquires Lifestyle Financial Planning Services. Azimut Holding SpA ( Azimut ) is an Italian based independent asset manager with more than 35 billion in assets under management.
imdealsblog.com
Weissenburger Investments Joins LPL Financial - IM Deals - Investment Management Deals Blog - Seward & Kissel LLP
http://www.imdealsblog.com/2015/07/weissenburger-investments-joins-lpl-financial.html
IM Deals - Investment Management Deals Blog - Seward and Kissel LLP. 2014 Year in Review. Subscribe to our Newsletter. Enter your email address:. Follow us on Twitter. Subscribe to this blog's feed. Laquo; Ares Management and Kayne Anderson To Merge. PwC Asset Management M&A Insights ». Weissenburger Investments Joins LPL Financial. Weissenburger offers its investment advice through Weis Advisory LLC, a registered investment adviser, which is separate from LPL. To read the press release, please click here.
imdealsblog.com
AIG To Acquire First Principles Capital Management - IM Deals - Investment Management Deals Blog - Seward & Kissel LLP
http://www.imdealsblog.com/2015/08/aig-to-acquire-first-principles-capital-management.html
IM Deals - Investment Management Deals Blog - Seward and Kissel LLP. 2014 Year in Review. Subscribe to our Newsletter. Enter your email address:. Follow us on Twitter. Subscribe to this blog's feed. Laquo; Legg Mason to Acquire Majority Stake in RARE Infrastructure. Azimut Acquires Lifestyle Financial Planning Services ». AIG To Acquire First Principles Capital Management. The terms of the transaction were not disclosed. To read the article: please click here. Posted at 06:49 PM in Investment Manager M&A.
imdealsblog.com
IM Deals - Investment Management Deals Blog - Seward & Kissel LLP: Publications
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IM Deals - Investment Management Deals Blog - Seward and Kissel LLP. 2014 Year in Review. Subscribe to our Newsletter. Enter your email address:. Follow us on Twitter. Subscribe to this blog's feed. Fidelity Wealth Management M&A Transaction Report. Fidelity Clearing and Custody Solutions on August 15, 2016 issued this Report highlighting mergers and acquisition activity involving registered investment advisers during the first half of 2016, focusing on strategic acquirers. Private Equity Private Equity.
imdealsblog.com
Sun Life completes acquisition of Prime Advisors - IM Deals - Investment Management Deals Blog - Seward & Kissel LLP
http://www.imdealsblog.com/2015/08/sun-life-completes-acquisition-of-prime-advisors.html
IM Deals - Investment Management Deals Blog - Seward and Kissel LLP. 2014 Year in Review. Subscribe to our Newsletter. Enter your email address:. Follow us on Twitter. Subscribe to this blog's feed. Laquo; Azimut Acquires Lifestyle Financial Planning Services. Pramerica to Acquire Deutsche Bank’s Indian Management Businesses ». Sun Life completes acquisition of Prime Advisors. To read the press release: please click here. Posted at 05:33 PM in Investment Manager M&A. Hedge Fund Private Equity.
40actblog.com
CLO Funds Adviser Found to Have Had Faulty Valuation Procedures - 40 Act Blog
http://www.40actblog.com/2015/03/clo-funds-adviser-found-to-have-had-faulty-valuation-procedures.html
About The '40 Act Blog. Seward and Kissel LLP. Securities and Exchange Commission (SEC). Investment Company Institute (ICI). Financial Industry Regulatory Authority (FINRA). Subscribe to our Newsletter. Enter your email address:. Follow us on Twitter. Subscribe to this blog's feed. Laquo; Adviser to Offshore Funds Committed Form ADV, Website and Other Violations. Company's Confidentiality Agreement Conflicts with Whistleblower Rule ». CLO Funds Adviser Found to Have Had Faulty Valuation Procedures.
40actblog.com
Adviser to Offshore Funds Committed Form ADV, Website and Other Violations - 40 Act Blog
http://www.40actblog.com/2015/03/adviser-to-offshore-funds-committed-form-adv-website-and-other-violations.html
About The '40 Act Blog. Seward and Kissel LLP. Securities and Exchange Commission (SEC). Investment Company Institute (ICI). Financial Industry Regulatory Authority (FINRA). Subscribe to our Newsletter. Enter your email address:. Follow us on Twitter. Subscribe to this blog's feed. Laquo; Alternative Mutual Fund Found to Have Violated Custody and Brokerage Rules. CLO Funds Adviser Found to Have Had Faulty Valuation Procedures ». Adviser to Offshore Funds Committed Form ADV, Website and Other Violations.
