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6 Oct 2017, 6:09 am
Posted by HLS Forum on Corporate Governance and Financial Regulation, on Friday, October 6, 2017 Editor's Note: This roundup contains a collection of the posts published on the Forum during the week of September 29–October 5, 2017. [read post]
7 Nov 2007, 12:28 am
., Nov. 5 /PRNewswire-FirstCall/ -- Interwoven, Inc. , a global leader in content management solutions, today announced that it has been named the Vendor of the Year in the sixth annual Operations Management Awards for Excellence. [read post]
29 Mar 2012, 5:20 pm
AXA Rosenberg is accused of concealing a material error in the computer code of the model it used to manage client assets. [read post]
27 Jan 2014, 7:54 am
• Do they have RIMS (Risk Management Information Systems) capabilities? [read post]
7 Mar 2013, 12:36 pm
Check out our LinkedIn company website (click here). 33 Years of Environmental Reporting for serious Environmental ProfessionalsWaste Information & Management Services, Inc. [read post]
31 Dec 2019, 8:13 am
Financial Reports. [read post]
27 Jul 2012, 12:22 pm
The English High Court just ruled in Assenagon Asset Management S.A. v. [read post]
10 May 2019, 6:17 am
Regner, and Shannon Rose Selden, Debevoise & Plimpton LLP, on Monday, May 6, 2019 Tags: Appraisal rights, Arbitrage, Delaware cases, Delaware law, Fair values, In re Appraisal of Dell, Merger litigation, Mergers & acquisitions Stress Testing the Banking Agencies Posted by Matthew Turk (Indiana University), on Monday, May 6, 2019 Tags: Banks, Dodd-Frank Act, Financial institutions, Financial… [read post]
19 Jul 2019, 5:00 am
Five industry participants and academics testified before the House Financial Services Committee following the head of Facebook subsidiary Calibra, Inc. [read post]
18 Jun 2021, 5:55 am
Bell, Ryan Mitteness, and Jennifer Hitchcock, Fenwick & West LLP, on Thursday, June 17, 2021 Tags: Institutional Investors, Proxy advisors, Proxy voting, SEC, SEC rulemaking, Securities enforcement, Securities regulation, Shareholder voting Repairing the US Financial Reporting System Posted by Lynn E. [read post]
26 Apr 2018, 12:27 pm
FINRA Sanctions Western International Securities for Supervisory Issues According to the Financial Industry Regulatory Authority (FINRA), on February 28, 2018 an AWC was issued in which Western International Securities, Inc. [read post]
17 Jun 2016, 6:05 am
Krug, University of Washington School of Law, on Monday, June 13, 2016 Tags: Asset management, Boards of Directors, Dodd-Frank Act, Financial regulation, Fund managers, Investment advisers, Investment Company Act, Investor protection, Mutual funds, Oversight Tilton: Constitutional Challenge to SEC Administrative Proceedings Posted by Jason M. [read post]
25 Nov 2023, 12:52 pm
The wife had been the primary earner, and the husband had managed their assets. [read post]
1 Sep 2009, 5:51 pm
When the banking system took a huge hit and the financial markets dove it certainly shocked many of us but there were those who saw it coming. [read post]
20 Nov 2015, 6:58 am
Brokers have the opportunity to take advantage and misuse client assets under circumstances where brokerage firms either fail to put in place a reasonable supervisory system or fail to actually implement that system. [read post]
23 Feb 2012, 8:55 pm
The court also turned down the defendants’ claim revolving around investors’ relying on asset managers and the change in information that was made publicly available over time. [read post]
10 Jul 2018, 5:17 pm
(“TBIS”) and EHI Internetwork and Systems Management, Inc. [read post]
4 Jun 2015, 11:30 am
Varlack formerly served as a Principal Law Clerk for the New York State Supreme Court and, prior, Assistant Vice President and Counsel at AXA Financial, Inc. [read post]
4 Jun 2015, 11:30 am
Varlack formerly served as a Principal Law Clerk for the New York State Supreme Court and, prior, Assistant Vice President and Counsel at AXA Financial, Inc. [read post]
5 Apr 2018, 8:24 am
Similar to the SEC, the Financial Industry Regulatory Authority, Inc. [read post]
