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12 Sep 2022, 7:23 am
Among other things, a firm’s WSPs must address supervision of supervisory personnel and provide for the review of a firm’s investment banking and securities business, correspondence and internal communications, and customer complaints. [read post]
9 Sep 2022, 12:36 pm
Among other things, a firm’s WSPs must address supervision of supervisory personnel and provide for the review of a firm’s investment banking and securities business, correspondence and internal communications, and customer complaints. [read post]
9 Sep 2022, 6:30 am
Posted by the Harvard Law School Forum on Corporate Governance, on Friday, September 9, 2022 Editor's Note: This roundup contains a collection of the posts published on the Forum during the week of September 2-8, 2022 Dealing with Activist Hedge Funds and Other Activist Investors Posted by Martin Lipton, Wachtell, Lipton, Rosen & Katz, on Friday, September 2, 2022 Tags: Boards of Directors, Hedge funds, Proxy contests, SEC, Securities regulation, Shareholder activism,… [read post]
3 Sep 2022, 6:30 am
Posted by Steve Lipin and Keilley Banks, Gladstone Place Partners, on Saturday, September 3, 2022 Editor's Note: Steve Lipin is founder and CEO and Keilley Banks is an analyst at Gladstone Place Partners. [read post]
2 Sep 2022, 8:25 am
It communicates that the target will regret passing up this opportunity, so they should invest immediately. [read post]
31 Aug 2022, 6:31 am
Comment Perspectives ISS Corporate Solutions examined a representative range of comments from investors (both asset owners and managers) and investor groups, such as CalSTRS, BlackRock, The Council of Institutional Investors; non-profits and consumer protection groups, such as As You Sow and Ceres; former SEC chairs and commissioners; legal and academic scholars; corporations, such as Occidental Petroleum, Hewlett-Packard and United Airlines; banks, including… [read post]
31 Aug 2022, 6:31 am
Comment Perspectives ISS Corporate Solutions examined a representative range of comments from investors (both asset owners and managers) and investor groups, such as CalSTRS, BlackRock, The Council of Institutional Investors; non-profits and consumer protection groups, such as As You Sow and Ceres; former SEC chairs and commissioners; legal and academic scholars; corporations, such as Occidental Petroleum, Hewlett-Packard and United Airlines; banks, including… [read post]
29 Aug 2022, 11:58 am
Health plans and insurers, health care providers, health care clearinghouses (“Covered Entities”), their business associate service providers, leaders and insurers should re-confirm their own organizations’ for handling and disposing of records and systems containing protected health information (“PHI”) comply with the Health Care Portability & Accountability Act (“HIPAA”) following the Department of Health & Human Services Office for Civil Rights… [read post]
22 Aug 2022, 9:05 pm
Breaking the Shackles: Zombie Firms, Weak Banks and Depressed Restructuring in Europe. [read post]
15 Aug 2022, 7:28 am
It’s now the mixed-use community Day Creek Square. [read post]
14 Aug 2022, 9:05 pm
Moreover, the use of SASB standards has been increasing significantly, and some large institutional investors have expressed strong support for sustainability reporting following SASB standards (e.g., BlackRock, Bank of America, Fidelity, the Maple 8). [read post]
10 Aug 2022, 7:07 pm
One does not necessarily center shareholders and investors, or even legal compliance, in the operation of CSR systems. [read post]
10 Aug 2022, 6:45 pm
This is particularly important for robo-advisers since clients in these types of investment relationships rely solely on their robo-adviser to electronically communicate limitations, risks, and operational aspects of the advisory service. [read post]
7 Aug 2022, 9:01 pm
The Basel Principles are intended “to accommodate a diverse range of banking systems” and to be applied “on a proportionate basis depending on the size, complexity and risk profile of the bank or banking sector for which the authority is responsible. [read post]
4 Aug 2022, 2:15 pm
The documents that Twitter seeks from Musk's friends, advisors, banks, legal team, and investors include emails, text messages, and Twitter DMs. [read post]
2 Aug 2022, 9:01 pm
Nat’l Australia Bank Ltd., 561 U.S. 247, 276 (2010) (Stevens, [read post]
1 Aug 2022, 9:01 pm
A CAD $125 million settlement was reached between investors and CIBC (Canadian Imperial Bank of Commerce). [read post]
1 Aug 2022, 9:00 am
For example, the defendant may use wire, radio, or television communication to commit the fraudulent scheme be emailing false or misleading bank statements to clients or investors. [read post]
29 Jul 2022, 8:20 am
By Lene Powell, J.D.In a letter to SEC Chair Gary Gensler, Senate Banking Committee Ranking Member Pat Toomey (R-Pa) slammed a “continued unwillingness by the SEC to give regulatory clarity to the cryptocurrency community and consumers. [read post]
29 Jul 2022, 7:47 am
They could accredit verifiable records of payments and arrears from banks and third-party platforms. [read post]
