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18 Dec 2023, 2:48 pm
In addition, the SEC considers numerous factors, such as the results of past examinations, disciplinary history of adviser affiliates, potential conflicts of interest in business activities, vulnerability to financial or market stresses, media reports and complains, access to client assets, as well as an adviser’s specific products, services, or practices. [read post]
13 Dec 2023, 7:47 am
.,2023) the Automatic Orders that were served action provided: (1) Neither part [sic] shall sell, transfer, encumber, conceal, assign, remove or in any way dispose of, without the consent of the other party in writing, or by order of the court, any property (including, but not limited to, real estate, personal property, cash accounts, stocks, mutual funds, bank accounts, cars and boats) individually or jointly held by the parties, except in the usual course of business, for… [read post]
11 Dec 2023, 1:18 pm
An “Inactive Entity” is an entity that: (A) was in existence on or before January 1, 2020; (B) is not engaged in active business; (C) is not directly or indirectly owned by any foreign person; (D) has not had any change in ownership in the preceding 12 months; (E) has not sent or received funds in an amount greater than $1,000, either directly or through any financial account in which the entity or any affiliate of the entity had an interest, in the… [read post]
15 Nov 2023, 6:26 am
E. [read post]
14 Nov 2023, 9:01 pm
Regulators routinely use these records to police prohibited short selling activity. [read post]
14 Nov 2023, 6:31 am
Vanguard also says that its funds may vote in favor of such proposals as long as ratification after the fact is permitted. [read post]
14 Nov 2023, 6:31 am
Vanguard also says that its funds may vote in favor of such proposals as long as ratification after the fact is permitted. [read post]
14 Nov 2023, 6:30 am
A Flesh-and-Blood Perspective on Hedge Fund Activism and Our Strange Corporate Governance System by Leo E. [read post]
14 Nov 2023, 6:30 am
A Flesh-and-Blood Perspective on Hedge Fund Activism and Our Strange Corporate Governance System by Leo E. [read post]
11 Nov 2023, 4:25 am
E. [read post]
3 Nov 2023, 5:36 am
The statement did not detail how or when workers will return to Gaza, or when contact would be cut off, although it said that funding that was designated for Gaza, including funding from the Palestinian Authority, would be deducted. [read post]
27 Oct 2023, 9:25 pm
When the SFC formulated its regulatory approach to virtual assets (VAs) in 2018, it imposed an overarching “professional investors (PIs) only” restriction on various types of VA-related activity, including in respect of the distribution of VA funds. [read post]
25 Oct 2023, 7:17 pm
When the corporate veil is pierced, the individuals who operated the business and did the bad activities become liable as legal parties. [read post]
10 Oct 2023, 9:01 pm
Although better than the proposed rule,[1] the final beneficial ownership reporting rule continues to rest on flawed economics. [read post]
6 Oct 2023, 6:39 am
The 2023 conference aims to take stock of surveillance theory and practice on the eve of the Paris 2024 Olympic Games, at a time when the surveillance camera is being superseded by, or perhaps rather combined with, other technologies such as FRTs. [read post]
6 Oct 2023, 6:36 am
The 2023 conference aims to take stock of surveillance theory and practice on the eve of the Paris 2024 Olympic Games, at a time when the surveillance camera is being superseded by, or perhaps rather combined with, other technologies such as FRTs. [read post]
3 Oct 2023, 9:01 pm
The Company’s stock price decreased by approximately 21% the day after this announcement. [read post]
2 Oct 2023, 2:52 am
For example, pre-revenue stage biotechnology companies regularly seek additional capital to fund their research and development activities and real estate investment trusts seek to fund the acquisition of new properties by selling equity securities in private placements or direct registered sales priced at a small discount to the prevailing market price. [read post]
13 Sep 2023, 2:13 am
Julian E. [read post]
12 Sep 2023, 9:01 pm
We are seeking to harmonize the minimum price increment where stocks can be quoted and transacted as well as lower these minimum increments across the markets.[12] Lastly, we put out a proposal to bring greater competition for a segment of the market related to individual investors’ marketable orders.[13] Private Funds Last month, we finalized a rule that, among other things, will require private fund advisers registered with the Commission to provide detailed… [read post]
