Search for: "Financial Asset Securities Corporation"
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21 Oct 2022, 9:16 am
The Securities and Exchange Commission (SEC) announced the creation of two new offices—an Office of Crypto Assets (OCA) and an Office of Industrial Applications and Services (OIAS)—within its Division of Corporation Finance’s Disclosure Review Program (DRP). [read post]
19 Oct 2013, 10:49 am
CAPCO is a mutual fund underwriter and is a subsidiary of Capstone Financial Services, Inc. [read post]
14 Mar 2011, 6:30 pm
The Asset-Backed Market Stabilization Act provides certainty to the issuers of asset-backed securities by repealing the liability provision. [read post]
28 Sep 2009, 10:00 pm
Trustee Picard for instance, retained the corporate financial consulting company FTI on December 30, 2008. [read post]
28 Sep 2009, 10:00 pm
Trustee Picard for instance, retained the corporate financial consulting company FTI on December 30, 2008. [read post]
10 Jun 2014, 2:18 pm
ETFs need not make FINRA filings – a FINRA filing under the Corporate Financing Rule will not be required for securities issued by an exchange-traded fund (ETF) if it is a pooled investment vehicle that is not a registered investment company but has equity securities listed for trading on a national securities exchange that can be created or redeemed on any business day at their net asset value per share. [read post]
5 Jun 2011, 11:50 am
In recent testimony before the Committee, Ashby Corum, a KPMG partner, said that the accounting and reporting of income taxes by corporate enterprises in their financial statements is a critical element of their overall reporting. [read post]
4 Aug 2009, 3:00 pm
Page Perry's attorneys are actively involved in representing institutional and corporate investors in auction rate securities cases. [read post]
22 Jan 2023, 9:01 pm
U.S. federal and state banking regulators’ proposed guidance on climate-related financial risk management: The Office of the Comptroller of the Currency, the Federal Deposit Insurance Corporation and the Federal Reserve have each proposed a set of substantially similar principles for climate-related financial risk management for large financial institutions (i.e., those with over $100 billion in total consolidated assets) over the course of… [read post]
2 Mar 2022, 3:30 am
For more on these complicated issues, also see Matt Levine’s Bloomberg column yesterday about writing down Russian assets and whether weapons funding is now an ESG investment: The human and global security costs of the Ukraine situation are hard to think about. [read post]
9 Jul 2019, 12:57 pm
Under the final rule, which is unchanged from the proposal, community banks with $10 billion or less in total consolidated assets and total trading assets and liabilities of 5 percent or less of total consolidated assets are excluded from the Volcker Rule.The final rule also permits a hedge fund or private equity fund, under certain circumstances, to share the same name or a variation of the same name with an investment adviser as long as the adviser is not an… [read post]
17 Apr 2013, 3:29 am
Here's an excerpt from a blog by Davis Polk's Ning Chiu on this: INCR includes notable investors such as BlackRock and others traditionally associated with being active on corporate social issues, including Boston Common Asset Management and the AFL-CIO. [read post]
20 Mar 2015, 3:11 pm
Chenier allegedly submitted a personal financial statement that listed fictitious assets as well as tax returns that contained the Social Security number of someone else. [read post]
19 May 2011, 4:39 pm
The attorneys at Eccleston Law have expanded their investigation of China Voice Holding Corporation following an SEC emergency asset freeze allegations that it was nothing more than an $8.6 million Ponzi scheme. [read post]
9 Feb 2012, 3:38 pm
The fund manager must provide audited financial statements to each investor. [read post]
6 Dec 2022, 11:07 am
State regulators have a record of protection and education concerning digital assets, and NASAA itself began warning investors about digital asset scams a decade ago. [read post]
29 Oct 2014, 11:48 am
This post continues our story on the allegations made by the Financial Industry Regulatory Authority (FINRA) against Center Street Securities, Inc. [read post]
17 Nov 2021, 8:31 am
The Financial Industry Regulatory Authority (FINRA). [read post]
21 Sep 2017, 6:05 am
FinCEN Recommends Risk-Based Approach According to FinCEN, financial institutions should take risk-based steps to identify and limit any exposure they may have to funds and other assets associated with Venezuelan public corruption. [read post]
10 Apr 2017, 12:01 pm
With corporate data security breaches on the rise, the New York State Department of Financial Services (NYDFS) has adopted rules requiring financial institutions to take certain measures to safeguard their data and inform state regulators about cybersecurity incidents. [read post]
