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13 May 2010, 8:00 am
Some insurance defense counsel and insurers provide little or no useful information in response to discovery requests. [read post]
28 Mar 2011, 6:17 am
Shareholder proposals provide one mechanism via which mutual funds can influence firm policies to benefit shareholders. [read post]
8 Nov 2023, 9:05 pm
CIT providers are now lobbying Congress to expand access to CIT investments.[3] What Are CITs? [read post]
21 Sep 2021, 1:23 pm
Free consultation with a Securities Attorney This information is publicly available and provided to you by The White Law Group. [read post]
28 Dec 2012, 4:32 pm
Additionally, Pruco Securities failed to have written procedures for the pricing of mutual fund orders, and did not provide its employees with any training or training materials regarding paper mutual fund pricing requirements. [read post]
16 Oct 2014, 1:16 pm
Mutual Pharmaceutical Company, Inc. [read post]
26 Nov 2008, 4:43 pm
" Led by Chairman Christopher Cox, a former Republican Congressman who is a champion of deregulation, the SEC has continued to provide a free reign to Wall Street, while acting in the worst interest of investors. [read post]
22 May 2007, 4:02 pm
In Shareholder Activism and Institutional Investors, I explained that financial relationships between portfolio firms and institutions provide a significant constraint on shareholder activism:... corporate managers are well-positioned to buy off most institutional investors that attempt to act as monitors. [read post]
4 Dec 2018, 12:24 pm
Medical Mutual provides medical professional liability insurance for physicians and dentists. [read post]
23 Jan 2010, 8:21 am
According to Cogent, Fidelity Investments has forfeited its position as both the number one distributor and mutual fund provider to key rivals Charles Schwab and Vanguard. [read post]
23 Jan 2010, 8:21 am
According to Cogent, Fidelity Investments has forfeited its position as both the number one distributor and mutual fund provider to key rivals Charles Schwab and Vanguard. [read post]
29 Apr 2024, 10:27 am
On 29 April 2024, the House of Lords’ International Agreements Committee issued its 9th Report, which considers the UK-Switzerland Agreement on the Mutual Recognition of Financial Services. [read post]
29 Apr 2024, 10:27 am
On 29 April 2024, the House of Lords’ International Agreements Committee issued its 9th Report, which considers the UK-Switzerland Agreement on the Mutual Recognition of Financial Services. [read post]
17 Nov 2020, 12:54 pm
Needless to say, even if a firm does not receive the FINRA sweep (or Targeted Examination) letter, every firm offering mutual fund products should review their systems, processes, and procedures to ensure that they reasonably address this area and have been providing waivers and/or rebates when customers’ sales of mutual fund shares and subsequent purchases entitled them to the waiver or rebate under the rights of reinstatement provisions. [read post]
8 Mar 2011, 8:55 am
Langston with the blog faculty Source: The Costa Rica News Costa Rica and Brazil took the first steps to reach a bilateral agreement that would provide both nations with mutual cooperation in the development of nanotechnology, the space industry and in other areas of mutual interest. [read post]
17 Sep 2020, 12:54 pm
Australia Attorney General Christian Porter has asked the parliament to consider suspending the treaty and also the mutual legal assistance treaty, under which the two nations provide mutual assistance in the investigation and prosecution of criminal offenses and in proceedings related to criminal matters. [read post]
20 Mar 2019, 10:00 am
Through his law firm and independent registered investment advisory company, Victor provides 360º Wealth Protection Strategies for individuals in or nearing retirement. [read post]
4 Dec 2014, 5:21 am
Furher, FINRA found that the firm did not provide guidance to supervisors regarding the appropriate steps to determine such issues as whether a registered representative may have engaged in unsuitable short term and/or unsuitable mutual fund switching; whether a registered representative recommended the appropriate share class in a mutual fund switch transaction; or what action was necessary once a pattern of mutual fund switching was detected. [read post]
24 Nov 2008, 9:00 pm
On November 20, the SEC voted unanimously to simplify mutual fund prospectuses so that investors can easily understand disclosures. [read post]
2 May 2012, 6:42 am
The foregoing information has been provided by The White Law Group. [read post]
