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3 Jan 2022, 12:58 am by Peter Mahler
  The complaint also alleged a direct claim for losses to the plaintiff’s capital account from the Trustee’s denial of a credit for “fictitious profits” on investments that had been “rolled over” from another fund. [read post]
1 Jan 2022, 8:20 am by Rob Robinson
(Investee)Capital Southwest Corporation in Recapitalization (Investor) 2-Jul-19QDiscoveryXact Data Discovery 19-Jun-19Text IQ (Investee)FirstMark Capital with Sierra Ventures (Investors)$12,600,000 17-Jun-19Elevate (Investee)Kayne Partners (Investor)$25,000,000 17-Jun-19Cellebrite (Investee)Israel Growth Partners (IGP) $110,000,000 12-Jun-19Infinnium (Investee)Sahajanand Group (Investor) 11-Jun-19Jordan LawrenceExterro 5-Jun-19Mindseye SolutionsReveal 3-Jun-19Onna (Investee)Series… [read post]
27 Dec 2021, 9:53 am by Kevin LaCroix
  On October 7, 2021, J Capital Research, a short seller, published a report raising doubts about the Faraday Future’s production capabilities, stating that the company had “reneged on promises to build factories in five locations in the U.S. and China,” is “being sued by dozens of unpaid suppliers,” and “failed to disclose that assets in China have been frozen by courts. [read post]
27 Dec 2021, 6:50 am by Zamansky LLC
Inc. in Atlanta, and Livingston Group Asset Management d/b/a Southport Capital. [read post]
24 Dec 2021, 6:26 am
Boards Face Backlash as ESG Tips the Scales During 2021 Proxy Season Posted by Rodolfo Araujo and Garrett Muzikowski, FTI Consulting, Inc., on Friday, December 17, 2021 Tags: Asset management, Board oversight, Boards of Directors, ESG, Institutional Investors, Risk management, Shareholder activism, Shareholder proposals, Shareholder voting Statement by Commissioner Peirce on Rule 10b5-1 and Insider Trading Posted by Hester M. [read post]
14 Dec 2021, 10:20 am by Silver Law Group
This includes an order freezing assets of some of the defendants and an order appointing a receiver over the assets of the defendants. [read post]
10 Dec 2021, 4:59 am
Kay, and Paige Patton, Pay Governance LLC, on Monday, December 6, 2021 Tags: Board composition, Board dynamics, Boards of Directors, Diversity, ESG, Human capital SPAC Governance: In Need of Judicial Review Posted by Michael Klausner (Stanford University) and Michael Ohlrogge (NYU), on Tuesday, December 7, 2021 Tags: Agency costs, Business judgment rule, Capital formation, Fairness review, Fiduciary… [read post]
8 Dec 2021, 11:27 am by CFM Admin
Those CA RIAs that do not engage an auditor must, among other things: (i) provide notice of such custody on the Form ADV; (ii) maintain client assets with a qualified custodian; (iii) engage an independent party to act in the best interest of investors to review fees, expenses, and withdrawals; and (iv) retain an independent certified public accountant to conduct surprise examinations of assets. [read post]
8 Dec 2021, 7:27 am by CFM Admin
Those CA RIAs that do not engage an auditor must, among other things: (i) provide notice of such custody on the Form ADV; (ii) maintain client assets with a qualified custodian; (iii) engage an independent party to act in the best interest of investors to review fees, expenses, and withdrawals; and (iv) retain an independent certified public accountant to conduct surprise examinations of assets. [read post]
3 Dec 2021, 12:58 pm by Silver Law Group
He leveraged his talent for choosing stocks and grew its assets over 4900%, to $10 billion. [read post]
3 Dec 2021, 6:06 am
Posted by Mark Roe (Harvard Law School), on Wednesday, December 1, 2021 Tags: Agency costs, Corporate purpose, ESG, Hedge funds, Human capital, Securities litigation, Shareholder primacy, Stakeholders Risks to Those Who Facilitate Ransomware Payments Posted by Antonia M. [read post]
1 Dec 2021, 11:53 am by Brian Liu, Raquel Leslie
Other companies sanctioned by SAMR include online retailers JD.com Inc., Suning Ltd. and Baidu Inc. [read post]
1 Dec 2021, 7:40 am by Shannon O'Hare
 Notarisation fees are calculated in accordance with the particulars of the document and not the type or value of the assets. [read post]
26 Nov 2021, 5:38 am
Securities and Exchange Commission, on Friday, November 19, 2021 Tags: Glass Lewis, Institutional Investors, Institutional Shareholder Services Inc. [read post]
19 Nov 2021, 5:57 am
Securities and Exchange Commission, on Thursday, November 18, 2021 Tags: Glass Lewis, Institutional Investors, Institutional Shareholder Services Inc. [read post]