Search for: "SEC v. Asset Recovery and Management Trust"
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25 Apr 2024, 9:05 pm
For example, in Liu v. [read post]
24 Mar 2024, 9:01 pm
Third, disclosure promotes trust in markets and the companies that are raising money from the public. [read post]
23 Jan 2024, 9:01 pm
The SEC had charged AllianzGI with abandoning its investment and risk management strategies in the management of the Structural mutual funds. [read post]
23 Apr 2023, 9:01 pm
We engage with more than 40,000 registrants—asset managers, brokers, dealers, exchanges, fund complexes, public companies, and many more. [read post]
15 Aug 2022, 2:35 pm
Exceptions may apply, including for stock repurchases: occurring in connection with certain non-taxable corporate reorganizations; by regulated investment companies and real estate investment trusts; not exceeding $1 million in aggregate during the taxable year; and to the extent treated as a dividend. [read post]
19 Jul 2022, 11:31 am
Sec. 2. [read post]
13 Apr 2022, 9:01 pm
These priorities reflect SEC Chair Gary Gensler’s stated view that the examinations program is crucial to the SEC’s work to protect investors and instill trust in markets. [read post]
19 Mar 2021, 6:08 am
Securities and Exchange Commission, on Thursday, March 18, 2021 Tags: Asset management, Institutional Investors, Mutual funds, Proxy advisors, Proxy voting, SEC, Securities regulation, Shareholder voting, Transparency [read post]
22 Jul 2020, 3:07 pm
In April 2015, the SEC awarded more than $1.4 million to a compliance professional who “reported misconduct [to the SEC] after responsible management at the entity became aware of potentially impending harm to investors and failed to take steps to prevent it. [read post]
14 Jan 2019, 2:00 am
Under ERISA, insurance companies are fiduciaries when they exercise any authority or control related to managing or disposing of plan assets. [read post]
2 Jan 2018, 5:08 pm
The world of directors’ and officers’ liability is always dynamic, but 2017 was a particularly eventful year in the D&O liability arena. [read post]
5 Aug 2017, 11:50 am
, Haney v. [read post]
15 Jun 2017, 8:24 am
It was formerly known as American Realty Capital Trust V, Inc. [read post]
18 May 2016, 11:00 am
For example, in Erwin v. [read post]
13 Apr 2016, 4:55 pm
John is the President of John Reed Stark Consulting and former Chief of the SEC’s Office of Internet Enforcement. [read post]
14 Mar 2016, 2:56 am
“Direct means Direct” generally limits coverage to losses of assets that the insured held in an account for a customer or owned by the insured. [2] In Cumberland & Erly, LLC v. [read post]
13 Jan 2016, 5:05 pm
The SEC subsequently mandated that publicly traded U.S. companies submit various periodic reports to the agency in a timely fashion, including an annual financial report. [read post]
10 Mar 2014, 7:35 am
"Worker owned businesses are a central piece to a full economic recovery. [read post]
24 Jan 2014, 12:57 am
In FDIC v. [read post]
24 Jan 2014, 12:57 am
In FDIC v. [read post]
