Search for: "Securities Investor Protection Corporation"
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27 Dec 2010, 9:24 am
The law applies to corporate officers who commit fraud with respect to reporting requirements under securities law. [read post]
19 Dec 2010, 8:37 am
Subsequently, Howard embarked on an ad hoc book tour with speaking engagements at: the IOA Annual Conference; East Coast Ombuds Group; Society of Corporate Compliance & Ethics; California Caucus of College & University Ombuds; Ombuds of Texas; Coalition of Federal Ombuds Conference; and Princeton University.Congress Passes Law to Create New Federal Ombuds Offices -- The sweeping reform legislation signed into law by President Obama in July will establish new Ombuds programs for the… [read post]
18 Dec 2010, 10:14 am
The Equitable Treatment of Investors Act, HR 6531, is designed to protect ordinary investors who have already been defrauded and financially devastated from further clawbacks by the Securities Investor Protection Corporation trustee. [read post]
17 Dec 2010, 8:46 am
It’s coming up on two years since I started writing my blog, Mandelman Matters, and since those oh-so-humble beginnings back in late December of 2008, I’ve written and posted 375 in-depth articles focused on the political, economic, social and legal aspects of the financial and resulting foreclosure crises. [read post]
16 Dec 2010, 5:19 pm
The ICI believes, however, that the SEC rule in its present form is unsuited to the unique corporate governance structure of fund companies and boards and could increase costs for investors if implemented.The brief argues that the SEC failed to consider the very different context presented by funds. [read post]
15 Dec 2010, 9:01 am
Senate Bill No. 1155 amends, adds and repeals Corporation Code provisions relating to capital access companies effective January 1, 2011.Sec. 25102-Transactions exempted from qualification requirement. [read post]
14 Dec 2010, 4:44 am
In Corporate Governance, Jonathan Macey argues that less government regulation--not more--is what's needed to ensure that managers of public companies keep their promises to investors. [read post]
13 Dec 2010, 8:37 am
They are urging the Securities and Exchange Commission (SEC) to resist what the corporate lobbyists are saying, and adopt regulations that protect all whistleblower disclosures. [read post]
13 Dec 2010, 8:03 am
Corporations, as well as some LLCs and partnerships, are securities and must be treated accordingly. 2. [read post]
10 Dec 2010, 3:30 am
The plaintiffs brought a class action against defendants, Medical Capital Holdings (MCH), Wells Fargo Bank and the Bank of New York Mellon Corporation (BNYM), for breach of contract; breach of fiduciary duty; securities fraud in violation of Chapter 517 of the Florida Securities and Investor Protection Act (FSIPA); and negligence. [read post]
9 Dec 2010, 10:39 am
“Protecting our invention rights through these actions is the right choice for our investors, inventors and current licensees. [read post]
8 Dec 2010, 9:51 am
Lawsuit lenders initially focused on personal injury cases, but over time they have sought new frontiers, including securities fraud cases brought by disgruntled investors, whistleblower claims against corporations and property development disputes. [read post]
6 Dec 2010, 6:41 am
The reluctance of investors to finance or hold securities of environmental offenders can thus require an additional risk and liquidity premium on the cost of capital for firms with questionable practices (e.g., Garber & Hammitt, 1998).Bauer and Hann build on past work by showing that investors in corporate debt, along with lenders and equity investors, can also exact an environmental risk premium from corporations – even in the absence… [read post]
6 Dec 2010, 4:44 am
Auditors will benefit from clear rules that will protect them from liability for non-violative conduct. [read post]
3 Dec 2010, 9:15 am
This week we continue our weekly installment highlighting the best of the corporate and securities blogosphere for the past week. [read post]
2 Dec 2010, 10:59 am
The Act imposes a number of new requirements on corporations that are designed to prevent fraud and protect employees and investors, while also holding those who commit the violations criminally and civilly liable. [read post]
1 Dec 2010, 5:50 pm
Every company offering securities to the public is required to seek approval for listing of the securities on one or more recognised stock exchanges. [read post]
23 Nov 2010, 10:58 am
Copyrights protect expression and patents protects inventions, and neither protect ideas. [read post]
22 Nov 2010, 12:12 pm
Federal securities law, however, prohibits investors and managers from crafting optimal insider trading policies. [read post]
22 Nov 2010, 9:15 am
California Corporate & Securities Law Written by Allen Matkins partner Keith Paul Bishop, this blog covers topics that include corporate governance, derivative suits, relevant legislation and finance lenders. [read post]
