The Securities and Exchange Commission is suing two Colorado Springs investment firms and three partners of those firms, charging them with fraud and complicity in fraud in a series of related transactions. The lawsuit alleges that SkiHawk Capital Partners, The Convergence Group, Clement Borkowski, Sean Hawkins and Joseph Schiff failedRead More →
Several foreign financial institutions seeking to set up investment entities in India’s International Financial Services Centers (IFSCs) have pressed the pause button pending negotiations of India’s terminated bilateral trade agreements with 58 countries, even as the Indian funds are exploring opportunities in these centers. A European fund seeking to establishRead More →
The report notes that “patient experience” has become a priority for healthcare executives. According to analysis by CB Insights, investment in healthcare companies remained strong in the second quarter of 2021, with funding reaching record highs in the areas of AI and telehealth. The “Q2 ’21 State of Healthcare Report”Read More →
The Association of Investment Companies (AIC) has warned that the changes to KIDs (Key Information Documents) proposed by the Financial Conduct Authority would be disadvantageous for investment companies. AIC chief executive Ian Sayers pointed out that the FCA did not include collective investment schemes as securities funds in its proposedRead More →
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While there is no doubt that investors have embraced ESG (environmental, social and governance) investing, their knowledge of the companies and asset managers exposed to it shows that investors could use more research and best ESG selection tools. According to a recent survey by Investopedia and Treehugger, many investors admitRead More →
UK: How investment firms can prepare for the UK’s new prudential regime To print this article, all you need to do is be registered or log in to Mondaq.com. Newgate ComplianceChief Executive Matthew Hazell outlines the steps investment firms need to take to prepare for Britain’s newRead More →
Investment firms in the UK (“UK“) who are authorized to perform investment services or activities under the Markets in Financial Instruments Directive (“MiFID”) (EU/2014/65) (including alternative investment fund managers (“AIFM”) with a “complementary” MiFID authorization) will be subject to the new prudential regime for investment firms (“IFPR”), which will comeRead More →
game theory is a regular series where we speak with a professional with insight into China’s business and technology scene. With three decades of experience connecting foreign companies to the Chinese market, Dr. Harley Seedin is a trusted source for U.S.-China economic and trade policy. We reached out to SeedinRead More →
game theory is a regular series where we speak with a professional with insight into China’s business and technology scene. With three decades of experience connecting foreign companies to the Chinese market, Dr. Harley Seedin is a trusted source for U.S.-China economic and trade policy. We reached out to SeedinRead More →
Boomi should have new owners. The Chesterbrook-based SaaS company, which was first acquired by Dell more than a decade ago, is now at the center of an impending deal that will transfer from the IT giant to global investment firms Francisco Partners and TPG Capital. The definitive agreement for theRead More →
There are two types of non-profit associations. The first type is highly visible, capable of launching multi-million dollar fundraising campaigns and can even run TV spots. The second type works with few resources and helps to form the backbone of our communities. In my city alone I see places likeRead More →
In one policy statement introducing the UK Investment Firms Prudential Regime (IFPR), the FCA said the key changes for companies would include a new requirement to hold cash equivalent to one-third of capital. The policy statement also describes how the FCA proposes to calculate companies’ “K-factors”, namely an assessmentRead More →
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The BofA Securities research team has produced a report that helpfully outlines the three dominant global themes they believe will affect investment portfolios for the remainder of 2021. What these trends will mean for Canadian equities is mixed and d an interesting way. The first theme involves a strengthening globalRead More →