Search for: "Securities Investor Protection Corporation"
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21 May 2019, 5:46 am
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois. [read post]
21 Feb 2020, 6:13 am
Posted by the Harvard Law School Forum on Corporate Governance & Financial Regulation, on Friday, February 21, 2020 Editor's Note: This roundup contains a collection of the posts published on the Forum during the week of February 14–20, 2020. [read post]
20 Oct 2022, 5:43 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]
6 Mar 2023, 9:01 pm
When the foundational securities laws were enacted in the early 1930s, there was a significant focus on the individual corporate issuer. [read post]
19 May 2021, 9:19 am
The cornerstone of the existing global governance model encourages non-discriminatory trade and vigorous cross-border investment, thus the security exception in international economic agreements was envisioned as a “last-resort” allowing a nation to override international economic obligations only if necessary and invoked in good-faith to protect essential security. [read post]
26 Jul 2023, 9:01 pm
A flexible, principles-based approach that allows for disclosures tailored to the issuer making them would be a better way to protect investors. [read post]
11 Apr 2018, 3:00 pm
It could be argued that the legal compulsion involved could deter companies and executives from focusing on the principal objectives of maximizing corporate value, protecting investors and promoting the efficient allocation of capital. [read post]
13 Apr 2023, 9:05 pm
Banks fail for a variety of reasons, including weak regulation, economic instability, poor corporate governance, and inadequate risk management. [read post]
30 Apr 2021, 5:55 am
Posted by the Harvard Law School Forum on Corporate Governance, on Friday, April 30, 2021 Editor's Note: This roundup contains a collection of the posts published on the Forum during the week of April 23–29, 2021. [read post]
25 Sep 2023, 2:26 pm
Securities and Exchange Commission (SEC) announced settled charges against the registered investment adviser DWS Investment Management Americas Inc. [read post]
28 Sep 2021, 7:32 am
For more information on the firm’s investigation, please see: United Development Fund IV (UDF IV) Delisted by NASDAQ UDF IV Appeal Dismissed UDF reportedly raided by FBI The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois. [read post]
14 Mar 2012, 7:24 am
According to the Notice, “The know-your-customer and suitability obligations are critical to ensuring investor protection and promoting fair dealing with customers and ethical sales practices. [read post]
28 Feb 2013, 4:22 am
ISS proxy analyses are the work product of ISS and are protected by copyright. [read post]
6 Mar 2017, 4:26 pm
Just weeks after the Supreme Court issued its decision in Morrison, Congress passed the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank”), which included a provision (Section 929P) stating that federal courts shall have jurisdiction of an action or proceeding brought or instituted by the SEC or DOJ alleging a violation of the antifraud provisions of the Exchange Act involving “(1) conduct within the United States that constitutes… [read post]
23 Oct 2008, 9:40 pm
• Existing Delaware corporate law and federal securities laws recognize the interest of the corporation and its shareholders in having access to information that would be material to shareholder voting decisions. [read post]
27 Oct 2017, 5:11 pm
Because of an exception that tends to swallow the rule, however, corporate defendants are often disappointed when they attempt to invoke this principle to defeat securities fraud claims. [read post]
21 Aug 2013, 7:12 am
Has the company sufficiently disclosed to investors the risks of a data breach? [read post]
14 Oct 2022, 7:17 am
Investors and executives alike can benefit from robust D&O coverage to protect their personal assets in the event of a claim. [read post]
6 Jan 2014, 8:30 pm
It embraced the fractured system of law (narrowly understood) and heavily tied to the workings of the domestic legal orders of states; corporations must comply with local law, but they may respond to social norms to the extent of their fear of consumer and investor power. [read post]
8 Feb 2018, 7:21 am
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Vero Beach, Florida. [read post]
