Search for: "Securities Investor Protection Corporation"
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8 May 2023, 10:51 am
The SEC’s focus on earnings manipulation that violates federal securities laws demonstrates its mission to require stronger corporate disclosures to better protect investors. [read post]
8 May 2023, 4:30 am
It describes why and how securities law regulates speech to inform and protect investors--functions that also achieve public-regarding goals by facilitating stable and efficient markets, encouraging corporate accountability, and ameliorating the systemic economic risks of market collapse. [read post]
5 May 2023, 4:12 am
Investor Interest: There is growing demand from investors for companies to demonstrate strong ESG performance. [read post]
4 May 2023, 9:01 pm
Indirect Investor Protection: The Investment Ecosystem and Its Legal Underpinnings, 14 J. [read post]
2 May 2023, 9:05 pm
The most acute geopolitical implications of controlling shareholders and corporate control lie in the realm of national security, together with the closely related fields of data protection and technological innovation. [read post]
2 May 2023, 9:01 pm
Further, investors would benefit from the proposal’s changes to enhance the protections that qualified custodians provide, which helps protect assets should the adviser or custodian go bankrupt. [read post]
2 May 2023, 12:51 pm
Unlike checking accounts at a local Texas financial institution there is no protection provided by the Federal Deposit Insurance Corporation (FDIC). [read post]
2 May 2023, 5:26 am
NASAA’s overall quest is to determine whether the securities manual exemption under the Uniform Securities Act (USA) of 1956, 1985 and/or 2002 continue to protect investors from fraud and, if not, what changes are recommended to ensure complete protection for investors in today’s complex financial market world. [read post]
30 Apr 2023, 6:30 am
The most important trust-building issues are paying appropriate wages, protecting employee data and communicating clearly. [read post]
30 Apr 2023, 6:30 am
The most important trust-building issues are paying appropriate wages, protecting employee data and communicating clearly. [read post]
28 Apr 2023, 6:30 am
Pritchard (University of Florida) and Robert Thompson (Georgetown University), on Tuesday, April 25, 2023 Tags: administrators, Corporate governance, Legal history, SEC enforcement, securities law, Supreme Court Flawed sale process places directors, executives and acquirers in harm’s way Posted by Andrew Ditchfield, George R. [read post]
28 Apr 2023, 6:30 am
Pritchard (University of Florida) and Robert Thompson (Georgetown University), on Tuesday, April 25, 2023 Tags: administrators, Corporate governance, Legal history, SEC enforcement, securities law, Supreme Court Flawed sale process places directors, executives and acquirers in harm’s way Posted by Andrew Ditchfield, George R. [read post]
28 Apr 2023, 12:15 am
As I discussed in this post from earlier this month, SB 54 would have required institutional investors, securities and real estate brokers, and others to report diversity status of startup founding teams. [read post]
27 Apr 2023, 9:05 pm
ENDNOTES [1] See, e.g., Larry Fink, Larry Fink’s 2020 Letter to CEOs: A Fundamental Reshaping of Finance, Blackrock (Jan. 14, 2020), https://www.blackrock.com/corporate/investor-relations/2020-larry-finkceo-Letter (“[W]ith the impact of sustainability on investment returns increasing, we believe that sustainable investing is the strongest foundation for client portfolios going forward. [read post]
27 Apr 2023, 9:01 pm
Corporates may need to consider whether to move their investments into funds investing in longer-term Treasury bills, into direct investments in longer-term Treasury securities, or into in [read post]
26 Apr 2023, 9:05 pm
The fiduciary provisions were “stapled on” as just one piece of ERISA’s protective regime. [read post]
26 Apr 2023, 9:01 pm
Today’s corporate crises frequently involve legal issues that span traditionally discrete areas such as consumer protection, corporate governance, corporate restructuring, employee relations, governmental investigations, securities regulations and white-collar crime. [read post]
25 Apr 2023, 9:05 pm
No corporate leader wants to become the next Blockbuster video chain. [read post]
22 Apr 2023, 7:16 pm
The board shall not make an investment decision with the primary purpose of influencing any social or environmental policy or attempting to influence the governance of any corporation. [read post]
21 Apr 2023, 11:38 am
The comment continues: “In the context of protecting investors from frauds related to inaccurate climate related disclosures the SEC should send a powerful message to the regulated community and potential whistleblowers that the Commission will act on climate-related whistleblower tips. [read post]
