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10 May 2024, 6:30 am
Posted by Mireia Giné (IESE Business School), on Monday, May 6, 2024 Tags: Common ownership, Corporate Innovation, Policymakers, R&D Next-Gen Governance: AI’s Role in Shareholder Proposals Posted by Arnaud Cavé and Niamh O’Brien, FTI Consulting, on Monday, May 6, 2024 Tags: AFL-CIO, AI, Artificial intelligence, Proxy advisors, Shareholder proposals M&A Developments: Hedge Fund Activism Posted by Igor Kirman, Victor Goldfeld, Elina Tetelbaum, Wachtell… [read post]
10 May 2024, 6:30 am
Posted by Mireia Giné (IESE Business School), on Monday, May 6, 2024 Tags: Common ownership, Corporate Innovation, Policymakers, R&D Next-Gen Governance: AI’s Role in Shareholder Proposals Posted by Arnaud Cavé and Niamh O’Brien, FTI Consulting, on Monday, May 6, 2024 Tags: AFL-CIO, AI, Artificial intelligence, Proxy advisors, Shareholder proposals M&A Developments: Hedge Fund Activism Posted by Igor Kirman, Victor Goldfeld, Elina Tetelbaum, Wachtell… [read post]
10 May 2024, 6:00 am
The party seeking to vacate an arbitration award thus bears a heavy burden to establish that the arbitrator exceeded their power (see Matter of Asset Protection & Sec. [read post]
10 May 2024, 6:00 am
The party seeking to vacate an arbitration award thus bears a heavy burden to establish that the arbitrator exceeded their power (see Matter of Asset Protection & Sec. [read post]
10 May 2024, 5:00 am
The SEC Whistleblower Program had a record setting year in the 2023 Fiscal Year. [read post]
10 May 2024, 3:30 am
Companies sharply increased the number of requests filed with the SEC during the same period, with these two developments combining to produce a surge of exclusions. [read post]
10 May 2024, 3:15 am
Given the SEC’s recent experience in the federal courts, I think many of us are inclined to believe that a court will ultimately strike down or pare back the FTC’s ban. [read post]
10 May 2024, 3:00 am
Florida – Miami Mayor Subpoenaed to Testify in SEC’s Case Against Developer Who Paid Him Yahoo Finance – Jay Weaver, Tess Riski, Sarah Blaskey, and Joey Flechas (Miami Herald) | Published: 5/6/2024 When the Securities and Exchange Commission sued developer Rishi Kapoor, accusing him of defrauding investors in his real estate projects, the lawsuit made no mention of his company’s consulting agreement with Miami Mayor Francis Suarez. [read post]
9 May 2024, 3:08 pm
Notably, Delphia was also investigated by the SEC for identical conduct in 2021. [read post]
9 May 2024, 2:59 pm
SEC. 956. [read post]
9 May 2024, 8:07 am
Similarly, INA Sec. 245 requires that an immigrant visa to be “immediately available” when an I-485 adjustment of status is filed. [read post]
9 May 2024, 6:57 am
The SEC stated that a crypto firm should enter a liability and asset on its balance sheet for any custodied crypto and that the value of the safeguarding liability and the asset should be the fair market value of the crypto assets held for platform users. [read post]
9 May 2024, 3:30 am
The SEC continues to make headlines & honk off crypto bros by targeting industry participants for investigations and enforcement actions. [read post]
9 May 2024, 3:00 am
The filing of post-closing notices of sale with the SEC and the states disclosing such a fee may result in federal and state regulatory enforcement actions to seek injunctions, monetary penalties or criminal sanctions against the issuer and/or finder. [read post]
8 May 2024, 7:20 pm
The SEC’s investigation found that Oppenheimer was paid $588,400 in commissions. [read post]
8 May 2024, 12:00 pm
The post Sec. [read post]
8 May 2024, 11:12 am
Without admitting or denying the findings in the SEC’s order, Eastone and Yu consented to a cease-and-desist order, and each agreed to pay a $125,000 civil penalty. [read post]
8 May 2024, 8:43 am
If your company received a Wells Notice or a subpoena, you should retain a SEC Regulatory Defense law firm, like Malecki Law in New York, to communicate directly with the SEC on your behalf. [read post]
8 May 2024, 8:31 am
SEC Penalties for Delphia The SEC concluded that Delphia’s AI washing was false and misleading and violated several provisions of the Investment Advisers Act, and as a result, the SEC censured the Toronto-based firm and imposed a monetary penalty of $225,000. [read post]
8 May 2024, 7:52 am
Soon after, a coalition of 18 states sought to join the litigation on the SEC's side. [read post]
