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1 Feb 2019, 8:45 am
Five of the disclosures were filed from 04/24/2015 through 06/20/2018. [read post]
26 Sep 2019, 11:30 pm
Between 1996 and 2018, 15% of cases over $20 million had associated opt-outs, while for those under $20 million the rate was only 1.3%. [read post]
21 Dec 2021, 8:15 am
On 20 December 2021, the Dutch Authority for the Financial Markets (Autoriteit Financiële Markten, the AFM) published a report with the results of an exploratory study into investor protection requirements relating to social media posts titled “The pitfalls of ‘finfluencing’” (the Report). [read post]
22 Nov 2021, 6:09 am
Soon ESG investing will be investing, or at the very least a fundamental component of all investing. [read post]
13 Dec 2016, 7:30 am
If you have suffered losses investing with Charles C. [read post]
22 Oct 2021, 3:05 am
In a draft declaration issued on 20 November 2020, the FSCA proposed to include crypto assets as a category of financial product under the Financial Advisory and Intermediary Services Act, 2002 (“FAIS”). [read post]
15 Dec 2008, 11:31 pm
Go back 20 years. [read post]
23 Sep 2019, 12:47 am
Investment Trends The funding trends have turned in an unexpected way in 2018 within the U.S. market. [read post]
30 Jan 2014, 8:43 am
For each count of wire fraud, the maximum statutory penalty is 20 years in prison plus a fine of the greater of $250,000 or twice the gain or loss from the scheme. [read post]
24 Nov 2020, 11:30 am
State registered investment advisers, however, should also keep these key focus areas in mind to ensure that they have compliance programs that will stand up to regulatory scrutiny. [1]Select COVID-19 Compliance Risks and Considerations for Broker-Dealers and Investment Advisers (Aug. 12, 2020), https://www.sec.gov/files/Risk%20Alert%20-%20COVID-19%20Compliance.pdf. [read post]
6 Sep 2012, 1:36 pm
To facilitate the efficient exercise of the latter option, the National Futures Association ("NFA") published its Notice I-12-20 on September 6th. [read post]
20 Mar 2012, 12:00 pm
After 20 years, our vast network of partners gives Americans a wide-array of innovative choices for saving energy and cutting costs every day. [read post]
8 May 2020, 12:20 pm
The webinar will take place on Wednesday, May 20 at 10:30 AM PDT / 1:30 PM EDT. [read post]
20 Apr 2010, 2:39 am
EUobserver reports that both the European Commission and the German financial regulator BaFin are following closely the investigation of the US investment bank Goldman Sachs (see the detailed legal analysis by Bill Singer). [read post]
26 Dec 2011, 8:04 am
Hallmark Entertainment Investment Co., No. 172, 2011 (Del., Dec. 20, 2011), is a very short Order of the Delaware Supreme Court affirming the decision of the Court of Chancery dated March 9, 2011, which was highlighted on these pages here. [read post]
11 Sep 2008, 8:54 am
That first year, it reported providing psychotherapy for 20 disabled people on a $30,000 budget.But Varnador K. [read post]
16 Jun 2022, 12:52 pm
Earlier in 2022, the stock market entered what is referred to as a bear market, which happens when the market drops more than 20% lower than a recent high. [read post]
30 Apr 2010, 4:13 pm
Doeringer (Duke University - School of Law) has posted Fostering Social Enterprise: A Historical and International Analysis (Duke Journal of Comparative & International Law, Vol. 20, No. 2, pp. 291-329, 2010) on SSRN. [read post]
29 Mar 2010, 5:26 am
Breard, a former broker for ING Financial Partners, faces 20 years in prison and a $1 million fine for the single count of mail fraud that federal prosecutors charged her with last week. [read post]
16 Feb 2018, 8:22 am
The European Parliament has published the text of a resolution confirming their decision to raise no objections to the Commission delegated regulation of 20 December 2017 amending Delegated Regulation (EU) 2017/2358 and Delegated Regulation (EU) 2017/2359 as regards their date of application. [read post]
