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6 Jun 2024, 2:03 pm
The plaintiffs in the case, shareholders in Facebook, allege that the company defrauded them by its description of “risk factors” in their annual Form 10-K and quarterly Form 10-Q filings. [read post]
5 Jun 2024, 3:25 am
Most importantly, President Joe Biden does not support the legislation in its current form. [read post]
2 Jun 2024, 9:01 pm
For one, timely investigations and resolutions address misconduct, protect investors, and promote accountability. [read post]
30 May 2024, 9:05 pm
It does not mean striving to maximize value for diversified investors who own equity investments across all firms. [read post]
21 May 2024, 9:01 pm
The Final Rule is considerably narrower in scope from the rule the DOL adopted in 2016 (which the Fifth Circuit vacated in its entirety two years later)1 since it limits fiduciary status to recommendations made by persons who effectively hold themselves out as occupying a position of trust and confidence with respect to a retirement investor. [read post]
20 May 2024, 8:03 pm
ASIC submitted the Notification Clause was unfair within the meaning of ss 12BF(1)(a) and 12BG(1) of the Australian Securities and Investments Commission Act 2001 (Cth) (ASIC Act) on the basis that it: imposed an unclear disclosure obligation on the insured; suggested that Auto & General had a broader right to refuse or reduce claims than permitted under the ASIC Act; and was liable to mislead or confuse insureds as to their rights and obligations under the contract. [read post]
20 May 2024, 4:26 am
Schecter, as recently affirmed by the First Department: “[T]he signed, amended, and restated limited partnership agreement that is dated as of October 1 of 2016 [] does utterly refute the claims that are in this complaint in every regard. [read post]
15 May 2024, 9:01 pm
But what sort of tone does that response set at the firm? [read post]
14 May 2024, 7:15 am
The Order does not provide useful guidance on this. [read post]
13 May 2024, 6:41 am
Does it consistently protect a lawyer’s professional independence? [read post]
12 May 2024, 9:05 pm
ENDNOTE [1] Basic v. [read post]
8 May 2024, 5:51 pm
Does that align with your view of the market? [read post]
8 May 2024, 2:26 pm
This analysis discusses (1) the retirement funding problems; (2) federal efforts to address the retirement funding problems; (3) why the current federal efforts will not take the spotlight off fiduciaries anytime soon; (4) what being in the spotlight will mean for fiduciaries; and (5) reducing fiduciaries’ risk profiles. [read post]
2 May 2024, 9:56 am
The CRR amended framework will become applicable on 1 January 2025, and the amended CRD framework approximately in Q4 2025. 4. [read post]
1 May 2024, 1:18 pm
Department of Justice and the whistleblowers’ bar.[1] In its U.S. ex rel. [read post]
28 Apr 2024, 6:03 pm
The book’s table of contents is as follows: Chapter 1 – “Bribery and Other Serious Investor Misconduct in Asian International Arbitration” by Nobumichi Teramura, Luke Nottage and Bruno Jetin; Chapter 2 – “Does Corruption Hinder Foreign Direct Investment and Growth in Asia and Beyond? [read post]
28 Apr 2024, 3:29 pm
(Yes the budget was adopted by Senate Bill 360, but the available version does Not include the Conference Committee amendments.) [read post]
25 Apr 2024, 11:28 pm
The claimant’s case was that the DC Fund assets remaining with the defendant were held on trust by the defendant for the claimant and other investors in the DC Fund and were not subject to the BVI liquidation proceedings. [read post]
25 Apr 2024, 9:01 pm
District Court for the Northern District of California for insider trading in violation of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5. [read post]
22 Apr 2024, 1:11 pm
” [7] Specifically, Section 20(a) imposes vicarious liability on “controlling persons” for primary violations of Sections 10(b) by the persons they control, and Section 15 does the same for primary violations of Sections 11 and 12(a) of the Securities Act. [read post]
