Search for: "Securities Investor Protection Corporation"
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25 May 2023, 9:01 pm
Money market funds and open-end bond funds, by their design, have a potential liquidity mismatch—between investors’ ability to redeem daily on the one hand, and on the other, funds’ securities holdings that may have lower liquidity. [read post]
25 May 2023, 9:25 am
Other investor protection measures for retail clients An express prohibition on gifts (with the exception of discounts on fees and charges) has been introduced. [read post]
24 May 2023, 2:59 pm
Legal Advice – Self-serving, but true: Be sure to engage a qualified corporate/securities attorney to assist with all of the above. [read post]
24 May 2023, 9:17 am
Protecting the Organization with a Compliance Program The Alcoa example demonstrates the considerable threat the FCPA presents to international businesses. [read post]
23 May 2023, 9:01 pm
Thus, we have made two separate proposals with regard to the liquidity and pricing of these funds.[17] These proposals would help protect investors and promote fund resiliency. [read post]
23 May 2023, 5:50 am
In October 2016, according to the indictment, Cohen paid Daniels $130,000 through a shell corporation, with the understanding that Trump would later reimburse Cohen. [read post]
22 May 2023, 9:05 pm
The reasons are clear: EU and U.S. lawmakers want to protect investors and ensure the correct functioning of the financial markets. [read post]
19 May 2023, 12:00 am
Professor of Law, and by courtesy, Electrical Engineering at Stanford Law School and Director of Stanford Law School’s Center for Internet and Society.[1] Introduction This European Commission consultation is intended to evaluate a proposal to force online services to pay network access fees to broadband companies like Telefonica, Orange and Deutsche Telekom. [read post]
18 May 2023, 9:01 pm
The Commission has proposed several rules that are designed to protect investors in our capital markets from cyber risks. [read post]
17 May 2023, 1:27 pm
Other Businesses That Can Benefit While the core content is geared towards businesses with $1 million to $5 million in annual revenue and funded startups, the Ultimate Business Owner’s Handbook can also benefit other businesses such as:Businesses with annual revenues between $5 million and $20 millionNew businesses and startups without secured fundingFor new businesses and startups without secured funding, you’ll find valuable information here… [read post]
17 May 2023, 6:41 am
Securities and Exchange Commission to resolve its dispute with law firm Covington & Burling over the agency’s demand for the names of 300 clients affected by a cyberattack on the firm. [read post]
17 May 2023, 6:20 am
According to the UK Government’s press release on the subject, the offence is designed to capture dishonest sales practices, false accounting and hiding important information from consumers or investors[ii]. [read post]
17 May 2023, 3:15 am
With major corporate scandals involving private companies coming to light in recent years—from Theranos to FTX—it may not come as a surprise that the SEC seems poised to ramp up regulation and scrutiny to protect private investors in early-stage startup companies. [read post]
16 May 2023, 8:21 am
According to Public Citizen, BlackRock is so large that it cannot function as a passive investor if, under the terms and conditions of the reauthorization, it can acquire up to 20 percent a utility’s voting securities. [read post]
14 May 2023, 6:01 am
The Cambridge Analytica scandal and the FTC fine were also the subject of a separate securities class action lawsuit. [read post]
11 May 2023, 9:05 pm
Given the sophistication of all parties, we do not believe that the law should mandate either mechanism as there is no ‘investor protection’ rationale for doing so. [read post]
11 May 2023, 9:01 pm
The basic idea was the public deserves protection not only when a security is issued, but on an ongoing basis when a security is traded in secondary markets. [read post]
10 May 2023, 12:55 pm
Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 The Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 established new and enhanced protections for retail investors in the areas of the regulation of financial products and corporate disclosure. [read post]
9 May 2023, 9:01 pm
Such a remedy would have to be exercised with care, but should in fact be exercised where there is a material breach of a “clear and unambiguous” bylaw.[10] Directors have a duty to protect the stockholder franchise, and ensuring some measure of proper disclosure is a critical to that task. [read post]
9 May 2023, 9:47 am
They don’t need our protection. [read post]
