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24 Feb 2011, 8:22 am
(LOL.)Earlier: Prior installments of Inside StraightMark Herrmann is the Vice President and Chief Counsel – Litigation at Aon, the world’s leading provider of risk management services, insurance and reinsurance brokerage, and human capital and management consulting. [read post]
26 Jan 2010, 7:40 am
Capital cannot work unless the world has a rational risk appetite. [read post]
12 Aug 2022, 6:34 am
” “Some of the deals Kirkland has invested in alongside clients include taking stakes in Blackstone Inc. [read post]
3 Nov 2010, 1:06 pm
Louis-based brokerage firm. [read post]
30 Oct 2013, 8:00 am
” On the other hand, the First Circuit’s approach may be more consistent with the Supreme Court’s adherence to the formalities of entities in Janus Capital Group., Inc. v First Derivative Traders, a 2011 decision. [read post]
14 Nov 2023, 9:01 pm
In addition, FinTech investment adviser Titan Global Capital Management USA LLC agreed to pay more than $1 million combined in a civil penalty, disgorgement, and prejudgment interest to settle charges that it violated the marketing rule. [read post]
15 Nov 2023, 6:26 am
In addition, FinTech investment adviser Titan Global Capital Management USA LLC agreed to pay more than $1 million combined in a civil penalty, disgorgement, and prejudgment interest to settle charges that it violated the marketing rule. [read post]
22 Feb 2008, 6:00 pm
Signature Financial Group, Inc., and AT&T Corp. v. [read post]
12 Dec 2017, 4:36 pm
The company, Munched, Inc. halted its ICO after being contacted by the SEC, and agreed to an order in which the Commission found that its conduct constituted unregistered securities offers and sales. [read post]
30 Apr 2020, 7:44 am
In recent weeks, other firms have said they will back Libra, including e-commerce giant Shopify, non-profit organization Heifer International and cryptocurrency brokerage Tagomi. [read post]
22 Jul 2010, 9:30 am
"South Louisiana is America's energy capital. [read post]
2 Oct 2017, 4:50 pm
The SEC’s disclosure that its EDGAR system had been had hacked was big news last week, as was the accompanying disclosure that the information accessed may have been used for improper trading. [read post]
9 Nov 2023, 9:01 pm
In addition, the person must become a member of SIPC, adhere to a comprehensive regulatory regime, including the net capital rule[5] and Consolidated Audit Trail reporting, and be subject to examination by the SEC and FINRA. [read post]
5 Apr 2009, 1:26 pm
Introduction What began in late 2006 as a disruption in the market for subprime mortgage-backed securities, collateralized mortgage obligations (”CMOs”), and collateralized debt obligations (”CDOs”) has metastasized into a global financial crisis that has plunged much of the world into recession and brought down some of the world’s largest financial institutions. [read post]
20 Oct 2023, 2:40 pm
We were excited to be a part of this important event where attendees learned from some of the brightest minds in the investment world and supported a great cause. [read post]
16 Jun 2016, 2:48 pm
John Reed Stark As I noted in a recent post, on June 8, 2016, the SEC, in what one commentator called “the most significant SEC cybersecurity-related action to date,” announced that Morgan Stanley Smith Barney LLC had agreed to pay a $1 million penalty to settle charges that as a result of its alleged failure to adopt written policies and procedures reasonably designed to protect customer data, some customer information was hacked and offered for sale online. [read post]
4 Jun 2014, 4:34 am
As noted in the seminal case, In re Caremark Int’l, Inc. [read post]
6 Jan 2014, 11:20 pm
Supreme Court’s 1988 decision in Basic, Inc. v. [read post]
16 Dec 2008, 5:07 pm
Rye is a division of MassMutual's Tremont Group Holdings Inc., in Rye, N.Y., which places wealthy clients and institutions, such as pension fund [read post]
22 Feb 2016, 4:36 pm
After attending the PLUS D&O Symposium some years ago, several colleagues at Partner Re thought it might be worthwhile to provide D&O insurance professionals with historical overview of the evolution of Directors and Officers insurance (D&O) in the US marketplace. [read post]
