Carl Ayers
Abbate held the titles of COO and portfolio manager for fund A and the titles of CIO and portfolio manager
"An investment adviser’s fiduciary duty also includes a duty of care. To fulfill this obligation, an adviser, among other things, must provide investment advice in ...
The scheme was to fraudulently bill clients for fees to which Yellowstone Partners was not entitled under the terms of the investment agreements
Global failed to have reasonable written policies and procedures in place to confirm that the LPA and PPM were consistent on key points, including in ...
"In our view, the Commission’s adoption of the Derivatives Rule (and simultaneous amendment of the ETF Rule) was a missed opportunity to address longstanding investor ...
Enforcement action will not be recommended against an SD for a failure to comply with the CFTC Margin Rule solely to the extent such compliance ...
Until June 30, 2023 enforcement action won't be recommended against any person for a failure to comply with the IRS Clearing Requirement when making a ...
Until June 30, 2023, no enforcement action will be recommended for failure to comply with the trade execution requirement with respect to an IBOR-linked swap ...
These fallback provisions are designed to ensure that transactions that reference LIBOR will continue to function following the cessation or non-representativeness of LIBOR by providing ...
I do worry that some parts of the market want to rely on a replacement rate for LIBOR that’s dependent on a market that may ...