Search for: "Securities Investor Protection Corporation"
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13 Nov 2023, 1:37 pm
Woodruff Sawyer corporate securities law expert Lenin Lopez opines: SolarWinds’ internal controls may be the primary reason that the staff sent the CFO a Wells notice. [read post]
2 Nov 2008, 6:20 pm
Over 100 congressmen urged a CFIUS investigation.[19] Eventually, a white knight in the form of a French buyer made an offer for Norton Company at a higher price.[20] No national security concerns were raised about the French buyer and the deal went through.[21] While this regulatory structure provides strong protection of national security interests, it has also hamstrung the influence of sovereign wealth funds. [read post]
27 Jul 2021, 9:38 am
For more information on the firm’s investigation please see: Benefit Street Partners Realty Trust – Tender Offer BSP Realty Trust Investigating Potential Lawsuits Benefit Street Partners Realty Trust Investment Losses 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. [read post]
6 Mar 2024, 9:01 pm
A Major Question Implicated The Commission asserts that the federal securities laws allow it to require information “necessary or appropriate in the public interest or for the protection of investors” and explains how it has relied on these provisions over the past 90 years to adopt various disclosure rules.[3] But the Supreme Court has made clear that a “colorable textual basis” may be insufficient to support an assertion of regulatory authority,… [read post]
30 Mar 2022, 11:50 am
Investors need information about climate-related risks—and it is squarely within the Commission’s authority to require such disclosure in the public interest and for the protection of investors—because climate-related risks have present financial consequences that investors in public companies consider in making investment and voting decisions. [read post]
3 Apr 2020, 6:03 am
Securities and Exchange Commission, on Saturday, March 28, 2020 Tags: Broker-dealers, COVID-19, Disclosure, Engagement, FSOC, Investment advisers, Investor protection, SEC, Securities regulation, Systemic risk, Virtual meetings Non-U.S. [read post]
31 Jan 2011, 7:03 am
” “We may need to expend significant resources to protect against security breaches or to address problems caused by breaches. [read post]
19 Mar 2014, 3:45 pm
The Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 empowers the SEC to reward whistleblowers who provide original information that leads to an SEC enforcement action in which more than $1 million in sanctions is ordered. [read post]
22 Jul 2017, 2:22 pm
On July 21, 2017, the Federal Reserve Board, Office of the Comptroller of the Currency, and Federal Deposit Insurance Corporation (the “US Banking Agencies”), along with the Securities and Exchange Commission and the Commodity Futures Trading Commission, issued a joint press release indicating that they were coordinating their review of the applicability of the Volcker Rule to certain non-US funds and the US Banking Agencies issued a joint statement… [read post]
25 Oct 2015, 9:58 pm
If adopted, these amendments would secure strong and meaningful network neutrality protections for the EU – and for U.S. companies and speakers interacting with Europe. [read post]
15 May 2010, 9:45 am
Page Perry’s attorneys are actively involved in representing institutional and corporate investors in CDO cases. [read post]
30 Dec 2009, 9:45 pm
Due to what has been billed as the largest corporate fraud in India, the Government acted with great alacrity in rescuing the company and in protecting the interests of the investors, employees, creditors and customers. [read post]
19 Jan 2021, 1:26 pm
He has more than 30 years of experience in immigration law and helps corporations, finance professionals, investors, and startups to achieve their corporate and financial goals through investing money or in talent here in the United States. [read post]
6 Mar 2012, 9:07 am
Securities laws must focus on investor protection. [read post]
1 Mar 2012, 4:07 am
Customer data protection is handled by multiple layers of hardware and software security in ISS’ Geneva data facility.Global market initiatives, such as the United Nations Principles for Responsible Investment, and recent regulatory developments, such as the introduction of investor stewardship codes in various markets, highlight the important governance role of investors in exercising their active ownership rights, including voting at company meetings. [read post]
22 May 2018, 11:13 pm
The new regime brought sweeping reforms including in relation to encouraging e-governance and electronic documentation, mandating corporate social responsibility, simplifying merger procedures, improving disclosure norms, and enhancing protections for investors and minority shareholders. [read post]
30 Aug 2023, 10:28 am
Securities and Exchange Commission (SEC) issued two separate whistleblower awards: for $1.5 million and $600,000 respectively. [read post]
2 Dec 2011, 11:25 am
Anti-Dilution Protection: One of the biggest concerns of any investor in a company is that it will be diluted if the company subsequently issues more shares at a lower price. [read post]
25 Sep 2020, 7:19 am
In her speech at the CII conference, Lee said that the SEC has recognized both that disclosure can influence corporate conduct and that impact is consistent with the philosophy of the disclosure provisions of the securities laws. [read post]
28 Dec 2008, 7:35 am
Stephen Harbeck, chief executive of America's Securities Investor Protection Corporation (Sipc) and official receiver of Madoff's now defunct brokerage business, said the hunt for funds was likely to spread all over the world. [read post]
