Search for: "Institutional Investor, LLC"
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9 Jul 2021, 10:11 am
The law was backed by payment processing technology company CardX LLC, which lobbied the legislature to push through the bill and allow surcharges. [read post]
9 Jul 2021, 5:50 am
Schloetzer (Georgetown University), and Francine McKenna (American University), on Wednesday, July 7, 2021 Tags: Boards of Directors, COVID-19, Diversity, Executive turnover, Firm performance, Management, Manager characteristics, Succession Indirect Investor Protection Posted by Holger Spamann (Harvard Law School), on Wednesday, July 7, 2021 Tags: Capital markets, Information asymmetries, Information… [read post]
7 Jul 2021, 9:31 am
Example – Keyport Venture Partners LLC Fund, a/k/a The “Pre-IPO Depot” The United States Securities and Exchange Commission (SEC) recently brought a proceeding against Keyport Venture Advisors LLC, John M. [read post]
11 Jun 2021, 9:20 am
Earlier this year, a surcharging ban in Kansas was struck down after CardX LLC, a surcharging-services provider, filed suit against it. [read post]
3 Jun 2021, 6:20 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois. [read post]
27 May 2021, 10:23 am
Ponzi Schemes: A ponzi scheme is a type of investment scam that uses the funds of new investors to pay prior investors. [read post]
21 May 2021, 5:54 am
Posted by Aneesh Raghunandan (London School of Economics) and Shivaram Rajgopal (Columbia University), on Saturday, May 15, 2021 Tags: Climate change, Environmental disclosure, ESG, Financial advisers, Institutional Investors, Mutual funds, SEC, Securities regulation, Stakeholders, Stewardship, Sustainability FinCEN Seeks Public Comment on the Corporate Transparency Act’s Beneficial Owner Reporting Requirements… [read post]
19 May 2021, 8:34 am
Speak with a Securities Fraud Lawyer at Zamansky LLC The securities fraud lawyers at Zamansky LLC are committed to helping individual investors recover their fraudulent losses. [read post]
16 May 2021, 4:25 pm
Google LLC v. [read post]
14 May 2021, 6:07 am
King, Skadden, Arps, Slate, Meagher & Flom LLP, on Monday, May 10, 2021 Tags: Accountability, Board oversight, Boards of Directors, ESG, Institutional Investors, Oversight, Transparency The Effects of Mandatory ESG Disclosure around the World Posted by Zacharias Sautner (Frankfurt School of Finance & Management), on Monday, May 10, 2021 Tags: Disclosure, Environmental disclosure, ESG, Information… [read post]
5 May 2021, 11:01 am
According to publicly available records filed with the SEC, Pariter Securities, LLC likely received sales compensation for selling the GPB funds to retail investors. [read post]
4 May 2021, 8:10 am
According to publicly available records filed with the SEC, both Sandlapper Securities, LLC and Dempsey Lord Smith, LLC likely received sales compensation for selling the GPB funds to retail investors. [read post]
23 Apr 2021, 12:25 pm
“Horwitz could not have carried out his scheme without a compliant financial institution willing to look the other way when confronted with suspicious account activity,” the complaint reads. [read post]
21 Apr 2021, 9:37 am
They are only suitable for sophisticated, accredited investors and institutions. [read post]
16 Apr 2021, 8:43 am
In a hypothetical world of CBDC transactions, financial institutions, regulators, and law enforcement would, in most scenarios, have a clear view of currency use—where it goes, how it is transacted, how people are connected, and what channels they use to pay each other. . . . [read post]
16 Apr 2021, 5:51 am
Hopt (Max Planck Institute) and Patrick C. [read post]
16 Apr 2021, 3:53 am
” Centerview Partners LLC and Robert W. [read post]
15 Apr 2021, 6:20 am
One financial services client, for example, met with large institutional investors recently and spent almost a full hour on ESG. [read post]
12 Apr 2021, 11:33 am
Broker dealers like LPL Financial LLC owe a duty to supervise their brokers and ensure that their customers’ funds are invested appropriately and breaching these duties could make them liable for the losses incurred by the investors. [read post]
12 Apr 2021, 11:33 am
Broker dealers like LPL Financial LLC owe a duty to supervise their brokers and ensure that their customers’ funds are invested appropriately and breaching these duties could make them liable for the losses incurred by the investors. [read post]
