Search for: "Securities Investor Protection Corporation"
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7 Jul 2010, 9:30 am
Some institutional investors prefer to remain anonymous to protect the confidentially of their trading strategies. [read post]
7 Jul 2010, 8:15 am
Securities and Exchange Commission is investigating misleading marketing by Wall Street banks of so-called “principal protection” notes, according to a recent Bloomberg article by Zeke Faux and Joshua Gallu. [read post]
2 Jul 2010, 5:29 pm
The PCAOB must consider whether different inspection schedules should apply to registered public accounting firms that issue audit reports only for one or more brokers or dealers that do not receive, handle, or hold customer securities or cash, or are not members of the Securities Investor Protection Corporation (SIPC). [read post]
2 Jul 2010, 12:55 pm
Securities liability can be seen as only one facet of the larger regulatory context of corporate governance. [read post]
1 Jul 2010, 11:51 am
I’ll act as if an invisible force is protecting me. [read post]
30 Jun 2010, 1:20 pm
Related posts:Morrison, Securities Liability and Corporate Governance Wolf-Georg Ringe is a Lecturer at the University of Oxford.... [read post]
29 Jun 2010, 2:51 pm
That decision foreclosed one particularly difficult kind of transnational securities case, the “foreign-cubed” class action (foreign investor, foreign defendant, foreign investment transaction). [read post]
29 Jun 2010, 11:22 am
This means that investors get the protection of company officers signing off on their financial statements plus a check on the internal accounting controls of public companies. [read post]
29 Jun 2010, 8:19 am
The default rate for municipal securities dramatically lags the default rate for corporate counterparts. [read post]
29 Jun 2010, 5:00 am
As the worlds of brokers and investment advisers increasingly converged, the SEC has been attempting to calibrate the regulation of these securities professionals in a flexible and innovative manner consistent with investor protection. [read post]
28 Jun 2010, 8:00 am
For the cert petition and the reply, we have posted them on the DU Corporate Governance web site. [read post]
28 Jun 2010, 4:00 am
"Promoter liability cases such as Dickerman faded away in the aftermath of federal securities laws and state blue sky legislation mandating comprehensive disclosure to investors. [read post]
28 Jun 2010, 2:11 am
Indeed, numerous foreign institutional investors had filed amicus briefs in the National Australia Bank case (refer for example here), arguing that "both foreign and domestic investors alike rely on American Law to ensure that corporations doing business in America are not tainted by fraud. [read post]
26 Jun 2010, 4:59 pm
Protects Investors: Provides tough new rules for transparency and accountability for credit rating agencies to protect investors and businesses. [read post]
25 Jun 2010, 9:22 am
The legislation provides for major corporate governance reforms, such as shareholder advisory votes on executive compensation and golden parachutes. [read post]
24 Jun 2010, 3:41 pm
The decision might have the unintended consequence of increasing order flow to US broker-dealers if institutional investors adopt a “best execution” practice that favors buying dual-listed securities on US exchanges, in order to insure protection against securities fraud. [read post]
24 Jun 2010, 5:00 am
The materiality concept is not about protecting investors from their own lack of acumen but about eliminating unimportant information from the decision making process. [read post]
23 Jun 2010, 10:36 am
A fifth member (Hammerman) is from a major securities industry association. [read post]
22 Jun 2010, 12:41 pm
United States (09-1012) Issues (partly overlapping among the petitions): (1) Whether a group of corporations can constitute an association-in-fact enterprise under RICO; (2) whether a corporation can be found to have the necessary specific intent to defraud in a RICO case without evidence that any particular individual in the corporation had such specific intent; (3) whether 18 U.S.C. [read post]
21 Jun 2010, 6:22 pm
· Puts Investors First on the MSRB Board: Gives investor and public representatives a majority on the MSRB to better protect investors in the municipal securities market where there has been less transparency than in corporate debt markets. [read post]
