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17 Mar 2022, 9:04 am
By way of background, Council Regulation (EU) No 833/2014 defines “investment services” as: (i) reception and transmission of orders in relation to one or more financial instruments; (ii) execution of orders on behalf of clients; (iii) dealing on own account; (iv) portfolio management; (v) investment advice; (vi) underwriting of financial instruments and/or placing of financial instruments on a firm commitment basis; (vii) placing of financial… [read post]
2 Jan 2012, 10:55 am
And Michael Kors has gone one step further. [read post]
18 Aug 2012, 8:45 pm
Capital Raising By Issuers Two interesting issues emerge. [read post]
4 Aug 2009, 4:12 am
Second, it will "consolidate[e] responsibility for consumer protection under one agency. [read post]
26 Nov 2023, 9:05 pm
On a more positive note, there is one new working paper that goes beyond conventional wisdom in financial economics. [read post]
1 Jun 2023, 1:14 pm
Three large, private equity-backed corporate landlords operate in Milwaukee’s house rental market. [read post]
12 Apr 2019, 6:17 am
Here, it's different incentives of the same people: the corporate managers who want to lower taxable income while raising financial accounting income. [read post]
20 Dec 2022, 3:15 am
We recognize that some companies may report using different standards, which may be required by regulation, or one of a number of other private sector standards. [read post]
16 Apr 2024, 12:26 pm
The Corporate Transparency Act (“CTA”) was implemented as of January 1, 2024, to combat illicit financial activities. [read post]
28 Dec 2020, 2:14 pm
One of the main factors driving this growth is the relocation of companies and C-Suite executives from other parts of the country looking to capitalize on Miami’s advantages. [read post]
7 Apr 2022, 4:10 am
Like so many government agencies, the SEC has to wisely use its limited resources to regulate a substantial part of the financial services industry and the capital raising activities and disclosure of all public companies. [read post]
10 Apr 2009, 9:48 am
Our results collectively imply that one of the key reasons ownership concentration falls as firms age is that when investor protection is strong, firms can raise capital and grow, diluting blockholders in the process. [read post]
14 Apr 2011, 2:28 am
Yves Smith at Naked Capitalism links to a great smack-down of the Wall Street Journal's lapdog corporatist reporting on behalf of the big banks and multinational corporations. [read post]
18 Nov 2010, 6:00 am
"No one on this panel invests in companies that they want to stay small. [read post]
12 Apr 2018, 3:54 am
Dealing with an inconsistent regulation consumes management time and capital that could be better spent on identifying emerging risks in the financial system, the report states. [read post]
18 Apr 2024, 9:01 pm
Put another way: any time you have individuals or corporations trying to capitalize and profit on FOMO, or the “fear of missing out,” around a new technology or offering, it should raise red flags for regulators and compliance professionals alike. [read post]
12 Mar 2010, 2:08 pm
Hearing on Corporate Governance after the Citizens United DecisionSubcommittee on Capital Markets, Insurance and Government Sponsored EnterprisesHouse Committee on Financial Services Nell MinowEditor, The Corporate Library March 11, 2010 Mr. [read post]
25 Jan 2023, 9:01 pm
For example, debt capital markets account for 80 percent of financing for non-financial corporations in the United States. [read post]
20 May 2020, 4:15 pm
Litterman, a founding partner at Kepos Capital, has chaired the subcommittee since it was established in June 2019. [read post]
15 Dec 2015, 8:04 am
While obtaining a small business loan from a financial institution is one option for securing funds, the truth is that many banks are cautious about extending loans to startup businesses. [read post]
