Search for: "Securities Investor Protection Corporation"
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12 May 2015, 3:26 pm
” The investor is also exposed to potential liquidity risk. [read post]
27 May 2016, 6:12 am
Eisenberg, K&L Gates LLP, on Wednesday, May 25, 2016 Tags: Financial crisis, Investor protection, Non-prosecution agreement, SEC, SEC enforcement, Securities damages,Securities enforcement, Securities regulation, Settlements The Value of Offshore Secrets: Evidence from the Panama Papers Posted by Hannes Wagner, Bocconi University, on Thursday, May 26, 2016 Tags: Anti-corruption, Compliance & ethics, Cybersecurity, Firm valuation,… [read post]
21 Jan 2020, 10:30 am
Securities and Exchange Commission’s Division of Corporation Finance issued guidance outlining the Staff’s views about disclosure obligations that companies should consider with respect to technology, data and intellectual property risks that could arise when operations take place outside the United States. [read post]
26 Jun 2020, 3:03 am
The requested disclosures are somewhat lengthy and it’s understandable that the information could be helpful to investors, although it would be more work for companies and securities lawyers. [read post]
22 Nov 2022, 3:49 pm
However, in actuality, the company’s cybersecurity program is alleged to have been “woefully deficient”: there was no security team, password policy, security training, or documentation regarding data protection. [read post]
24 Jan 2024, 9:01 pm
Today [January 24], the Commission considers a lengthy adopting release of nearly 600 pages that extensively describes numerous disclosure, dissemination, forward looking statement, liability, and accounting provisions purportedly designed to advance investor protection and facilitate capital formation for special purpose acquisition companies (SPACs). [read post]
2 Dec 2008, 12:53 am
The Company characterized the use of these contracts as protection against foreign interest rate volatility and assured investors that this type of trading did not represent "a risk from an economic and financial standpoint. [read post]
18 Jan 2019, 5:56 am
Smith, EY Center for Board Matters, on Friday, January 11, 2019 Tags: Board communication, Board performance, Boards of Directors, Corporate culture, Engagement, Institutional Investors, Risk management, Shareholder activism, Stakeholders Compensation Season 2019 Posted by Adam J. [read post]
10 Nov 2022, 5:01 am
As I previously wrote, We can show that there is a market for free speech by supporting Twitter in trying to reduce the dependence on corporate sponsors. [read post]
9 Jan 2012, 3:00 am
Romney, a wealthy former private-equity investor and son of a Michigan governor. [read post]
15 Feb 2024, 8:26 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Seattle, Washington. [read post]
29 Jun 2007, 10:04 am
He said the SEC was within its rights to make its recommendation, "given our charter and our responsibilities" to protect investors. [read post]
7 Dec 2017, 3:00 am
Here’s an excerpt summarizing the legal background: Congress passed the Private Securities Litigation Reform Act (PSLRA) to protect corporate defendants from meritless securities class actions. [read post]
1 Apr 2013, 10:03 pm
According to the Economist, Mary Shapiro, the outgoing SEC chairman was concerned that the JOBS Act would “eliminate important protections for investors” and she was particularly critical of the crowdfunding provisions. [read post]
1 Apr 2022, 6:01 am
Securities and Exchange Commission, on Thursday, March 31, 2022 Tags: Capital formation, Investor protection, IPOs, LLCs, Mergers & acquisitions, SEC, Securities regulation, SPACs, Special purpose vehicles [read post]
21 Feb 2014, 8:30 am
This lessened burden focuses primarily on the amount and timing of required disclosure firms owe investors and potential investors. [read post]
8 Sep 2020, 9:39 am
Whistleblowers have proven to be a critical tool in the enforcement arsenal to combat fraud and protect investors. [read post]
20 May 2021, 1:53 pm
Discussion There have of course been prior corporate and securities lawsuits against companies that experienced cybersecurity incidents. [read post]
17 Mar 2017, 6:00 am
Solomon and Elizabeth (Lisa) Vicens, Cleary Gottlieb Steen & Hamilton LLP, on Monday, March 13, 2017 Tags: SEC, SEC enforcement, SEC investigations, Securities enforcement, Securities regulation Defusing the Antitrust Threat to Institutional Investor Involvement in Corporate Governance Posted by Edward B. [read post]
28 Apr 2010, 8:00 am
Residential mortgage backed securities (“RMBS”), according to the SEC’s recent complaint, provides investors with payments “out of the principal and interest on the underlying [pool of residential] mortgages. [read post]
