Search for: "Institutional Investor, LLC"
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13 Sep 2021, 2:00 am
The Singapore International Arbitration Centre (SIAC) is the 2nd top arbitral institution globally and the most preferred arbitral institution in Asia. [read post]
10 Sep 2021, 6:17 am
Coffee (Columbia University), on Tuesday, September 7, 2021 Tags: Boards of Directors, Climate change, Engine No. 1, ESG, ExxonMobil, Hedge funds, Institutional Investors, Proxy contests, Shareholder activism, Shareholder voting, Sustainability Three Opinions on Fraud on the Board Posted by Nathaniel J. [read post]
3 Sep 2021, 5:46 am
Furman, John Wilson and Doug Elsbeck, King & Spalding LLP, on Sunday, August 29, 2021 Tags: Incentives, Investment advisers, Investment Advisers Act, SEC, SEC rulemaking, Securities regulation 2021 Say on Pay and Proxy Results Posted by Todd Sirras, Justin Beck, and Austin Vanbastelaer, Semler Brossy LLC, on Monday, August 30, 2021 Tags: Executive Compensation, Institutional Investors, Proxy advisors, Say… [read post]
30 Aug 2021, 11:18 am
Leading institutional investors, including Light Street Capital and Makena Capital, and strategic investor Axon Enterprise, Inc., participated in the PIPE, details of which were disclosed in Cellebrite’s April 8th, 2021 press release. [read post]
20 Aug 2021, 9:48 am
With more and more investors, including institutional investors, basing investment decisions on Environmental, Social, and Governance factors (“ESG”), companies may choose to add diverse board members to meet the minimum diversity goals to avoid investor scrutiny, or may further increase board diversity in order to maximize their appeal to investors. [read post]
20 Aug 2021, 5:54 am
Colpan (Kyoto University) and Randall Morck (University of Alberta), on Monday, August 16, 2021 Tags: Bailouts, Banks, Business groups, Financial institutions, International governance, Risk, Shocks, Systemic risk Blackrock Flexes Its Muscles During the 2020-21 Proxy Period Posted by Cydney Posner, Cooley LLP, on Monday, August 16, 2021 Tags: BlackRock, Boards of Directors, Climate change, Environmental… [read post]
20 Aug 2021, 2:00 am
© 2021 Morgan Stanley Smith Barney LLC. [read post]
20 Aug 2021, 2:00 am
© 2021 Morgan Stanley Smith Barney LLC. [read post]
16 Aug 2021, 8:54 am
Our Financial Fraud Attorney Represents Individual Investors Nationwide Each financial fraud attorney at Zamansky LLC provides nationwide legal representation for investors who have fallen victim to financial advisor fraud. [read post]
15 Aug 2021, 3:35 pm
Today, the legal and political institutions in the United States and the EU are demanding ESG ideas be implemented by businesses posthaste. [read post]
12 Aug 2021, 8:39 am
In a settled enforcement case announced August 9, 2021, the SEC fined Poloniex, LLC, a crypto trading platform, for operating an unregistered securities exchange. [read post]
6 Aug 2021, 8:40 am
For example, last month FINRA imposed its largest financial penalty ever against Robinhood Financial LLC, in part, for failing to exercise due diligence before approving investors for options trading in self-directed accounts. [read post]
6 Aug 2021, 6:00 am
Eccles (University of Oxford), on Friday, July 30, 2021 Tags: Climate change, Engine No. 1, Environmental disclosure, ESG, ExxonMobil, Institutional Investors, Proxy contests, Shareholder activism, Shareholder voting, Sustainability Trust: A Critical Asset Posted by Don Fancher, Robert Lamm, and Debbie McCormack, Deloitte, on Saturday, July 31, 2021 Tags: Accountability, Board oversight, Boards of… [read post]
2 Aug 2021, 6:59 am
On June 23, 2021, the SEC fined Guggenheim Securities, LLC (“Guggenheim”) for maintaining a policy that it contended impeded potential whistleblowers from communicating with the SEC by requiring employees to obtain permission before reporting securities violations. [read post]
1 Aug 2021, 2:01 pm
ESG has become such a large component of my law practice that I am now collaborating with a fabulous group attorneys in ESG Legal Solutions, LLC, a new non-law consulting firm. [read post]
23 Jul 2021, 6:12 am
They created a new company to operate it, UpCounsel LLC, and Helgesen took over as acting CEO. [read post]
23 Jul 2021, 6:06 am
Engine No. 1 LLC accomplished the unlikely feat of electing three nominees to ExxonMobil’s board by garnering broad support from an array of sources, notably profit-oriented activists and major institutional investors. [read post]
16 Jul 2021, 8:52 am
Medley is an alternative asset management firm “offering yield solutions to retail and institutional investors. [read post]
15 Jul 2021, 2:54 pm
The federal judiciary will now face the legal conundrum of assessing whether a new breed of investor that purchases stock through a wholesaler that profits from transaction gamification by selling order flow, may be considered similarly situated as a more sophisticated institutional investor that depends on investment managers with fiduciary duties to clients when making investment decisions in the same stock.[15] The Goldman opinion confirmed that if the… [read post]
14 Jul 2021, 2:23 pm
The SEC’s administrative order instituting cease-and-desist proceedings can be found here. [read post]
