Search for: "Institutional Investor, LLC"
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16 Sep 2022, 6:30 am
Securities and Exchange Commission, on Friday, September 9, 2022 Tags: Bitcoin, Cryptocurrency, Financial regulation, Financial technology, Howey test, SEC, Securities regulation, Stablecoins Proposed Additional Amendments to Form PF Posted by Jessica Forbes, Philip Heimowitz, and Mark Highman, Fried, Frank, Harris, Shriver & Jacobson LLP, on Saturday, September 10, 2022 Tags: Cryptocurrency, Disclosure, Form PF, Hedge funds, Institutional Investors, Private equity,… [read post]
31 Aug 2022, 12:42 pm
The post Latest Headlines in Investment Fraud – August 2022 appeared first on Zamansky LLC. [read post]
26 Aug 2022, 6:30 am
Marlier, Morrison & Foerster LLP, on Wednesday, August 24, 2022 Tags: Coinbase, Cryptocurrency, Cybersecurity, Insider trading, Liability standards, SEC, SEC enforcement, Securities enforcement, Securities regulation ESG Ratings: A Compass without Direction Posted by Brian Tayan (Stanford University), on Wednesday, August 24, 2022 Tags: Disclosure, Environmental disclosure, ESG, Institutional… [read post]
26 Aug 2022, 6:30 am
Marlier, Morrison & Foerster LLP, on Wednesday, August 24, 2022 Tags: Coinbase, Cryptocurrency, Cybersecurity, Insider trading, Liability standards, SEC, SEC enforcement, Securities enforcement, Securities regulation ESG Ratings: A Compass without Direction Posted by Brian Tayan (Stanford University), on Wednesday, August 24, 2022 Tags: Disclosure, Environmental disclosure, ESG, Institutional… [read post]
18 Aug 2022, 5:21 am
The following are some of the financial institutions that purportedly sold Northstar products to investors: Cetera Financial J. [read post]
15 Aug 2022, 7:53 am
Investor rights attorney Alan Rosca of the Rosca Scarlato LLC law firm and his colleagues are investigating conduct related to Angel Oak Capital Advisors’ alleged dissemination of misleading data to AOMT 2018-PB1 investors. [read post]
15 Aug 2022, 7:53 am
Investor rights attorney Alan Rosca of the Rosca Scarlato LLC law firm and his colleagues are investigating conduct related to Angel Oak Capital Advisors’ alleged dissemination of misleading data to AOMT 2018-PB1 investors. [read post]
15 Aug 2022, 7:53 am
Investor rights attorney Alan Rosca of the Rosca Scarlato LLC law firm and his colleagues are investigating conduct related to Angel Oak Capital Advisors’ alleged dissemination of misleading data to AOMT 2018-PB1 investors. [read post]
12 Aug 2022, 6:51 am
Securities and Exchange Commission, on Thursday, August 11, 2022 Tags: CFTC, Disclosure, Form PF, Hedge funds, Institutional Investors, Private equity, Private funds, SEC, SEC rulemaking, Securities regulation [read post]
12 Aug 2022, 6:51 am
Securities and Exchange Commission, on Thursday, August 11, 2022 Tags: CFTC, Disclosure, Form PF, Hedge funds, Institutional Investors, Private equity, Private funds, SEC, SEC rulemaking, Securities regulation [read post]
1 Aug 2022, 9:01 pm
The 39 settlements range from a high of $200 million (General Electric Company) to a low of $250,000 (ABTCOIN LLC). 32 of the 39 settlements occurred in U.S. [read post]
1 Aug 2022, 7:00 am
Allegedly, Hollifield sold securities in the brokerage client’s account and suggested that the customer move $1.24M to a different financial institution to earn more interest. [read post]
25 Jul 2022, 12:45 pm
In addition, donors may like the idea of directly benefiting a specific person without going through some intermediary institution which would appropriately use part of the donation for associated operational and administrative costs. [read post]
22 Jul 2022, 9:08 am
The term “master limited partnership” is used when the limited partnership is sufficiently large in size and solicits institutional investors. [read post]
18 Jul 2022, 2:46 pm
Furthermore, the campaign group, ShareAction, alongside 117 individuals and 15 institutions, filed a shareholder resolution in early 2021 asking HSBC, Europe’s second largest fossil fuels financier, to publish a strategy and targets to reduce its exposure to fossil fuel assets, starting with coal. [read post]
15 Jul 2022, 6:29 am
Securities and Exchange Commission, on Thursday, July 14, 2022 Tags: Institutional Investors, Proxy advisors, Proxy voting, SEC, SEC rulemaking, Securities regulation, Shareholder voting [read post]
15 Jul 2022, 6:29 am
Securities and Exchange Commission, on Thursday, July 14, 2022 Tags: Institutional Investors, Proxy advisors, Proxy voting, SEC, SEC rulemaking, Securities regulation, Shareholder voting [read post]
8 Jul 2022, 6:30 am
By way of background on the signatories, Jon Lukomnik is the managing partner of Sinclair Capital LLC, a strategic consultancy to institutional investors. [read post]
8 Jul 2022, 6:30 am
By way of background on the signatories, Jon Lukomnik is the managing partner of Sinclair Capital LLC, a strategic consultancy to institutional investors. [read post]
8 Jul 2022, 6:29 am
Larcker (Stanford University), and Brian Tayan (Stanford University), on Thursday, July 7, 2022 Tags: Bankruptcy, Capital formation, Capital structure, Distressed companies, Hedge funds, Institutional Investors, IPOs, REITs The Proposed SEC Climate Disclosure Rule: A Comment from the Investment Company Institute Posted by Dorothy Donohue, Susan Olson, and Eric Pan, Investment Company Institute, on Thursday,… [read post]
