Once again, but not surprisingly, an arbitration agreement conveyed by an employer and confirmed by an employee via email has been upheld by the New Jersey courts. Jasicki v. Morgan Stanley Smith Barney LLC
DGAP Voting Rights Announcement: Daimler AG Daimler AG: Release according to Article 40, Section 1 of the WpHG [the German Securities Trading Act] with the objective of Europe-wide distribution
DGAP-PVR: Evotec SE: Release according to Article 40, Section 1 of the WpHG [the German Securities Trading Act] with the objective of Europe-wide distribution
Postal code:
Acquisition/disposal of instruments
X
Legal entity: Morgan Stanley
4. Names of shareholder(s)
holding directly 3% or more voting rights, if different from 3.
5. Date on which threshold was crossed or reached:
29 Jan 2021
(total of 7.a.)
(total of 7.b.1 + 7.b.2)
New
a. Voting rights attached to shares (Sec. 33, 34 WpHG)
ISIN
Type of instrument
at any time
Type of instrument
8. Information in relation to the person subject to the notification obligation
Person subject to the notification obligation is not controlled nor does it control any other undertaking(s) that directly or indirectly hold(s) an interest in the (underlying) issuer (1.).
GRB&A, a full-service public accounting firm, announced that
Kelly DeRose, CPA/PFS, MST and
Megan Emdad, CPA, MBA were named partners.
DeRose has a seasoned tenure at GRB&A with nine years at the firm. Under her leadership in 2020, GRB&A garnered a record-high client satisfaction rate of 98% according to an external study.
DeRose offers quality seamless integrated services to the firm’s clients, including individuals, closely held businesses, and not-for-profits. She shares her talent in tax advisory and planning services, and will continue guiding the tax services area for the firm.
A forward-thinker, DeRose champions and pursues opportunities leading to the firm’s overall growth and boasts 21 years of professional industry experience.
SEC Enforcement and Exams Likely to Focus More on Private Funds in the New Administration
For the next several weeks and months, intense focus will be trained on determining the priorities of the Biden administration. We believe that at the Securities and Exchange Commission (“SEC”), the new administration will ramp up examinations and investigations of investment advisers, and specifically advisers to private funds.
The industry has certainly been in growth mode. By the SEC’s own calculations, the number of private funds increased by nearly one third during the past four years (from 26,840 funds in the first quarter of 2016 to 34,858 in the first quarter of 2020), and the aggregate net asset value increased likewise (from $6.9 trillion in the first quarter of 2016 to $9.5 trillion in the first quarter of 2020).