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22 Dec 2020, 9:43 am
RIAs must provide a copy of the updated Form ADV Part 2A brochure and Part 2B brochure supplement (or a summary of changes with an offer to provide the complete brochure) to each “client” and, if applicable, Part 3 (Form CRS client relationship summary) to each “retail investor” with which the RIA has entered into an investment advisory contract. [read post]
17 Dec 2020, 8:04 am
Leading Edge promises to help create the right conditions for new partnerships and trade and investment opportunities, promoting the adoption of fintech, particularly of UK-grown efforts in areas such as RegTech, robotic process automation and AI. . . . [read post]
13 Dec 2020, 3:25 am
The following listing highlights key industry business moves by sharing the announcement date, parties involved, and amounts (if available) of significant eDiscovery-related mergers, acquisitions, and investments. eDiscovery Mergers, Acquisitions, and Investments Event DateAcquired (Investee)Acquirer (Investor)Amount (Estimated $) 4-Dec-20Nuix LImited (NXL) - IPOAustralian Stock Exchange (ASX) 3-Dec-20AccessDataExterro 1-Dec-20CicaydaTCDI 12-Nov-20Hyperion Global… [read post]
11 Dec 2020, 6:01 am
Behavioral Corporate Finance: The Life Cycle of a CEO Career Posted by Marius Guenzel (The Wharton School), and Ulrike Malmendier (University of California Berkeley), on Friday, December 4, 2020 Tags: Behavioral finance, Decision making, Management, Manager characteristics, Managerial style, Mergers & acquisitions Defining the Role of the Audit Committee in Overseeing ESG Posted by Kristen Sullivan, Maureen Bujno, and Leeann Galezio… [read post]
2 Dec 2020, 8:27 am
., LL.M.Panelists at a meeting of the SEC’s Asset Management Advisory Committee have asked the Commission to repeal the rule banning certain investment advisers from making federal contributions, citing a negative impact on minority political participation. [read post]
27 Nov 2020, 5:58 am
Posted by Torsten Jochem (University of Amsterdam), Gaizka Ormazabal (University of Navarra), and Anjana Rajamani (Erasmus University Rotterdam), on Tuesday, November 24, 2020 Tags: Compensation disclosure, Executive Compensation, Management, Peer groups, Say on pay, Transparency The Department of Labor’s ESG-less Final ESG Rule Posted by Joseph Lifsics, Mayer Brown LLP, on Tuesday, November 24, 2020 … [read post]
26 Nov 2020, 12:09 pm
As of September 5, 2018, the firm reported regulatory assets under management of approximately $2.7 billion. [read post]
25 Nov 2020, 11:30 am
The post JPMorgan Hit with $250 Million Fine for Issues in Advisory business appeared first on The White Law Group. [read post]
24 Nov 2020, 3:04 am
• An overview of selected human capital-related topics and metrics across all 77 SASB industry standards – specifically, standards on labor practices; employee health & safety; employee engagement, diversity & inclusion; and supply chain management • A summary of SASB’s Human Capital Management Research Project, which has the objective of identifying opportunities for the SASB Standards to further account for human capital-related risks and… [read post]
20 Nov 2020, 5:55 am
An abundance of the wisdom and business practices I use in my role today came from peer advisory groups. [read post]
17 Nov 2020, 6:21 am
Scott Silver, Silver Law Group’s managing partner, is chairman of the Securities and Financial Fraud Group of the American Association of Justice and represents investors around the country and internationally in securities investment fraud cases. [read post]
13 Nov 2020, 6:14 am
A group of derivatives leaders engaged in a far-ranging discussion of these topics in a panel titled Managing the Risk of Climate Change: The Role of Markets, at the FIA’s recent Expo-V Conference 2020, a virtual event in light of the ongoing COVID-19 pandemic.Setting the stage. [read post]
12 Nov 2020, 10:40 am
Hyperion’s founder and CEO, Eyal Iffergan, will join Epiq as Managing Director of its new legal operations advisory business. [read post]
9 Nov 2020, 10:30 am
“The advisory board will help shape my approach to managing the surge in reported infections; ensuring vaccines are safe, effective, and distributed efficiently, equitably, and free; and protecting at-risk populations. [read post]
3 Nov 2020, 9:06 pm
In this context, the CFTC’s release of its advisory subcommittee’s report signifies an inflection point. [read post]
21 Oct 2020, 5:00 am
Sammann indicated the futures can be utilized as part of, or in lieu of, an ESG investment strategy.Steven Hamilton of ICE Futures U.S. declared that his exchange saw strong tailwinds for ESG integration. [read post]
20 Oct 2020, 7:20 am
Ronald Birnbaum (Ronald David Birnbaum CRD# 238250) is a broker and investment advisor currently registered with Advisory Group Equity Services Ltd. and Trust Advisory Group Ltd. [read post]
17 Oct 2020, 7:00 am
Posted by Martha Carter, Matt Filosa, and Sean Quinn, Teneo Governance, on Saturday, October 17, 2020 Editor's Note: Martha Carter is Vice Chairman and Head of Governance Advisory, and Matt Filosa and Sean Quinn are Managing Directors at Teneo Governance. [read post]
16 Oct 2020, 3:00 am
Plaintiffs in a lawsuit managed to get nearly two extra weeks of counting people as the case made its way through the courts. [read post]
8 Oct 2020, 1:09 pm
Industry is working to address these vulnerabilities, but those efforts take time and a lot of investment. [read post]
