Search for: "Securities Investor Protection Corporation"
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10 May 2010, 5:33 am
Some protection. [read post]
14 Nov 2006, 1:16 pm
Two groups, one sponsored by the US Chamber of Commerce, and a second formed by Harvard Law professor Hal Scott (with the endorsement of Treasury Secretary Henry Paulson), were formed with the objective to propose such changes (as reported by Stephen Labaton of the New York Times): The groups are dafting proposals to provide broad new protections to corporations and accounting firms from criminal cases brought by federal and state prosecutors as well as a stronger shield against… [read post]
29 Dec 2021, 12:00 pm
Investors are also increasingly changing corporate behaviours. [read post]
11 Mar 2022, 1:19 pm
Securities and Exchange Commission (SEC) Whistleblower Program issued three final orders for whistleblower award applications. [read post]
28 Aug 2012, 11:55 am
Department of Labor under the Employee Retirement Income Security Act of 1974 (29 C.F.R. [read post]
6 Sep 2018, 6:48 am
The CSA confirms that if it becomes aware of any distributions or trades of Bail-in Debt by persons or companies in the business of trading in securities that are being made to investors located in Canada that are not being made either: (i) by or through a registered dealer (in accordance with investor protection requirements applicable to that registered dealer under NI 31-103); or (ii) in compliance with the international dealer registration exemption in section… [read post]
5 Jul 2023, 9:01 pm
And earlier in the year, a group of 25 Republican attorneys general brought an action against the DOL, alleging that the rule violates the Employee Retirement Income Security Act (ERISA) and undermines protection for retirement savings. [read post]
8 Nov 2011, 9:56 am
The Securities Investor Protection Corporation announced Oct. 31 it initiated the liquidation of MF Global Inc. under the Securities Investor Protection Act. [read post]
22 May 2024, 8:30 am
The reasoning behind the rule is simple: if the SEC receives multiple reports across a number of these types of entities, then it can take swift steps to protect markets and investors,” said Gurbir S. [read post]
1 Jul 2024, 6:58 am
Fundraising and Financing: Securing funding through investors, loans, or crowdfunding campaigns often requires legal experience to structure the deals and protect your interests. [read post]
8 Mar 2014, 7:15 am
This is the fairest from the standpoint of the common stockholders but many preferred investors will not agree to take the down round risk without any anti-dilution protection. [read post]
8 Mar 2014, 7:15 am
This is the fairest from the standpoint of the common stockholders but many preferred investors will not agree to take the down round risk without any anti-dilution protection. [read post]
30 May 2011, 1:17 pm
Director Cross explained that the notion behind the accredited investor, and if you have $1 million net worth you fit in the definition, is that sometime in the early 1980s it was decided that these investors can fend for themselves and do not need the protection of the securities laws, thus allowing them to participate in unregistered private offerings. [read post]
19 Mar 2024, 6:08 pm
Its focus on the corporate governance side is on the development of legal structures for corporate philanthropy, coupled with an increasing emphasis on corporate compliance through systems of oversight and administration. [read post]
5 Sep 2022, 6:30 am
Related research from the Program on Corporate Governance includes The Illusory Promise of Stakeholder Governance (discussed on the Forum here) by Lucian A. [read post]
22 Jun 2018, 11:53 am
Does application of the Securities Act protections make sense? [read post]
4 Mar 2011, 10:09 am
Ruth Elnekave is an associate practising in the firm’s Toronto office in the area of corporate law with a focus on securities, corporate finance and public and private M&A. [read post]
11 Aug 2011, 6:05 pm
Running afoul of these rules can not only prevent you from raising the funds that you need, it could subject your personal assets to exposure (no corporate liability shield will be there to protect you), and in the worst case scenario, subject you to civil and criminal penalties. [read post]
11 Oct 2022, 7:16 am
Background The primary risk management tools available to corporations to protect against the personal liability of their officers and directors are indemnification and D&O insurance. [read post]
27 Sep 2015, 6:21 pm
ADR investors. [read post]
