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No. 5065 (Nov. 19. 2018) (alleging that the adviser inconsistently applied tiered “breakpoints” that reduced advisory fees as the total amount of client assets under management increased and failed to aggregate or “household” related account balances of the same client and clients within the same household for the purposes of achieving the advisory fee breakpoint discounts); In re Barclays Capital Inc., Advisers Act Rel. [read post]
No. 5065 (Nov. 19. 2018) (alleging that the adviser inconsistently applied tiered “breakpoints” that reduced advisory fees as the total amount of client assets under management increased and failed to aggregate or “household” related account balances of the same client and clients within the same household for the purposes of achieving the advisory fee breakpoint discounts); In re Barclays Capital Inc., Advisers Act Rel. [read post]
15 Nov 2021, 4:26 am by Peter Mahler
The second dissolution case is one I’ve written about twice previously, here and here, stemming from a 2012 Stock Transfer Agreement (“STA”) under which the plaintiff, Ismail Kocak, sold to the defendant, Ayhan Dargin, 75% of the capital shares of Baba’s Restaurant, Inc. which operated a Turkish restaurant in midtown Manhattan. [read post]
12 Nov 2021, 6:07 am
Nowell, Wachtell, Lipton, Rosen & Katz, on Thursday, November 11, 2021 Tags: Boards of Directors, Climate change, Diversity, Dual-class stock, ESG, Institutional Investors, Institutional Shareholder Services Inc. [read post]
5 Nov 2021, 5:49 am
Securities and Exchange Commission, on Monday, November 1, 2021 Tags: Capital formation, Investor protection, IPOs, Mergers & acquisitions, Public firms, SEC, SEC rulemaking, Securities regulation, SPACs, Special purpose vehicles ISS’ Annual Policy Survey Results Posted by Shaun Bisman and Han Wen Zhang, Compensation Advisory Partners, on Tuesday, November 2, 2021 Tags: ESG, Institutional… [read post]
2 Nov 2021, 8:49 am by Shannon O'Hare
  ARGENTINE LEGAL SYSTEM Argentina is a federal union of 23 provinces (or provincias) and a federal capital district, the City of Buenos Aires. [read post]
1 Nov 2021, 6:29 am
In 2015, BlackRock Inc. and Vanguard Group were both top-five owners in over half of the publicly listed firms in the U.S. and Canada (Park et al. 2019). [read post]
29 Oct 2021, 9:01 am by Kristian Soltes
Antitrust investigators are looking into the financial incentives that Visa gave Square Inc., Stripe Inc. and PayPal  Holdings Inc., the people said. [read post]
29 Oct 2021, 9:01 am by Kristian Soltes
Antitrust investigators are looking into the financial incentives that Visa gave Square Inc., Stripe Inc. and PayPal  Holdings Inc., the people said. [read post]
28 Oct 2021, 3:30 pm by anne
  The SEC’s ability to secure an asset freeze in Akazoo was critical to preserving assets for the benefit of injured investors. [read post]
25 Oct 2021, 2:55 am by Peter Mahler
”), incorporated Brady Farms, Inc. with 200 authorized shares, into which he contributed over 400 acres of tillable land on which Myron O. also maintained his residence. [read post]
22 Oct 2021, 6:20 am
Posted by Harry DeAngelo (USC), on Wednesday, October 20, 2021 Tags: Capital structure, Cash flows, Corporate debt, Leverage, Liquidity Sustainability Reporting: A Gap Between Words and Action Posted by Subodh Mishra, Institutional Shareholder Services, Inc., on Wednesday, October 20, 2021 Tags: Climate change, Environmental disclosure, ESG, Institutional Investors, Proxy advisors, Say on… [read post]
15 Oct 2021, 9:17 am by Kristian Soltes
The proposal comes a day after one of its investors, venture capital firm Andreessen Horowitz, released its own vision of how next-generation internet services including blockchain and digital assets should be regulated. [read post]
15 Oct 2021, 9:17 am by Kristian Soltes
The proposal comes a day after one of its investors, venture capital firm Andreessen Horowitz, released its own vision of how next-generation internet services including blockchain and digital assets should be regulated. [read post]
8 Oct 2021, 6:00 am
Securities and Exchange Commission, on Wednesday, October 6, 2021 Tags: Artificial intelligence, Capital markets, Cryptocurrency, Derivatives, Financial technology, SEC enforcement, Securities enforcement, Securities regulation, SPACs, Swaps Proposed Legislation to Address the Problem of Woke Corporations Posted by Senator Marco Rubio (R-FL), on Wednesday, October 6, 2021 Tags: Climate change, Conflicts of… [read post]
7 Oct 2021, 6:37 am by CFM Admin
On September 15, Coinbase Financial Markets Inc, a subsidiary of Coinbase Global, Inc. [read post]