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4 Mar 2024, 6:31 am
Related research from the Program on Corporate Governance includes The Elusive Quest for Global Governance Standards (discussed on the Forum here) by Lucian A. [read post]
29 Feb 2024, 12:02 pm
Confusion Among Non-Bank Regulators Regarding the Corporate Transparency Act (“CTA”) Similar to how regulators of banks have struggled to delineate between the roles of executive officers and directors, regulators of non-bank corporate entities have also had difficulties distinguishing between the roles of officers and directors of non-bank corporate entities. [read post]
28 Feb 2024, 9:58 am
WHAT WE PUBLISH We publish articles (no more than 20,000 words inclusive of notes, tables, appendices, and references) on a range of topics relevant to law and political economy, including the corporation, finance, antitrust, banking, money, and globalization; the political economy of race (including racial capitalism), gender, settler colonialism, and caste relations; property (including intellectual property); technology and the information economy;… [read post]
26 Feb 2024, 9:01 pm
These obligations historically have applied primarily to banks, broker-dealers and other similar financial institutions.2 The Proposed Rule is part of a broader overhaul to the U.S. anti-money laundering regime that includes the now-effective Corporate Transparency Act and upcoming rulemaking to enhance the Customer Due Diligence Rule (“CDD Rule”). [read post]
26 Feb 2024, 12:30 pm
The lawsuit named not only SPAC directors and officers but also the financial advisor involved with the deal, Chardan Capital Markets, LLC. [read post]
25 Feb 2024, 3:30 pm
After years of success operating the investment bank as a private entity, Moelis decided to raise capital from the public markets. [read post]
23 Feb 2024, 5:57 am
In broad strokes, Trump’s attorneys argue that his financial statements are not fraudulent because asset valuations are subjective — and the major banks and insurers that received them, like Deutsche Bank and Zurich, performed their own due diligence. [read post]
21 Feb 2024, 1:26 am
Long-term capital gains — or gains from the sale of assets held for at least one year — are taxed at either 0%, 15%, or 20%, depending on your overall income amount. [read post]
16 Feb 2024, 6:18 am
An adviser may qualify as an ERA if (i) it solely advises “private funds”[2] and has assets under management in the United states of less than $150 million or (ii) it solely advises “venture capital funds. [read post]
16 Feb 2024, 5:00 am
As wild utopian claims are legitimized through the apparatus of journalism during the hype cycle, external investors purchase shares, and consumers and corporations join the bandwagon. [read post]
15 Feb 2024, 9:08 pm
An external auditor’s confirmed AUSTRAC’s concerns regarding Gold Corporation’s non-compliance with its anti-money laundering obligations. [read post]
15 Feb 2024, 9:01 pm
This happens through banks and nonbanks alike. [read post]
13 Feb 2024, 8:44 am
This group includes, but is not limited to, the following: Governmental authorities Public utilities companies Financial institutions such as banks and credit unions Securities brokers, dealers, exchanges, clearing agencies, and reporting issuers Investment companies and advisors, including venture capital fund advisers Accounting firms Certain entities that are tax-exempt under section 501(c) of the Internal Revenue Code Finally, those entities that are subsidiaries of… [read post]
7 Feb 2024, 9:01 pm
These include the following, among other indicators: (i) the acquirer is “well-capitalized” and the resulting institution will be “well-capitalized”; (ii) the acquirer has a Community Reinvestment Act (the “CRA”) rating of Outstanding or Satisfactory; (iii) the resulting institution will have total assets of less than $50 billion; (iv) the acquirer has composite, management and consumer compliance ratings of 1 or 2; and (v) the… [read post]
6 Feb 2024, 6:13 am
Many brokers misrepresent these investments to clients as fixed income or bond like investments with return of capital. [read post]
5 Feb 2024, 10:00 pm
State Law Comparison Tool (Topic: Financial Institution Regulation) Access this tool for federal and state-specific guidance and the ability to compare state laws for banking and non-banking financial institutions in the areas of licensing, capital requirements, AML/CFT guidelines, recordkeeping, supervision, and enforcement authority. [read post]
4 Feb 2024, 9:05 pm
The 2023 banking crisis, and the ongoing macroeconomic conditions, further highlight the significance of debt capital as a lifeblood of business. [read post]
2 Feb 2024, 6:30 am
Huber, Latham & Watkins LLP, on Tuesday, January 30, 2024 Tags: enforcement, ESG, Greenwashing, litigation, regulation, Stakeholders, Value chain Accounting Information and Risk Shifting with Asymmetrically Informed Creditors Posted by Tim Baldenius (Columbia University), Mingcherng Deng (City University of New York), and Jing Li (Hong Kong University), on Tuesday, January 30, 2024 Tags: Accounting, debt contracting, Debt financing, Financial reporting, Lending relationships Compensation… [read post]
2 Feb 2024, 6:30 am
Huber, Latham & Watkins LLP, on Tuesday, January 30, 2024 Tags: enforcement, ESG, Greenwashing, litigation, regulation, Stakeholders, Value chain Accounting Information and Risk Shifting with Asymmetrically Informed Creditors Posted by Tim Baldenius (Columbia University), Mingcherng Deng (City University of New York), and Jing Li (Hong Kong University), on Tuesday, January 30, 2024 Tags: Accounting, debt contracting, Debt financing, Financial reporting, Lending relationships Compensation… [read post]
1 Feb 2024, 9:05 pm
National Australia Bank Ltd. 561 U.S. 247 (2010), which reduced the potential exposure of U.S. listed foreign firms to securities litigation (see Bartlett, 2015; Licht et al., 2017). [read post]
