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28 Oct 2008, 9:49 pm
Greenspan claimed to be "in a state of shocked disbelief" that financial institutions did not control themselves when there were billions to be made by relaxing lending practices and trading in exotic derivatives. [read post]
25 Nov 2009, 5:48 am
The industry could consolidate, as financial services did. [read post]
19 Jun 2017, 7:30 am
Unlike earlier bills, the this one defines the “significant activities undermining cybersecurity” to include: (1) significant efforts— (A) to deny access to or degrade, disrupt, or destroy an information and communications technology system or network; or (B) to exfiltrate, degrade, corrupt, destroy, or release information from such a system or network without authorization for purposes of— (i) conducting influence operations; or (ii) causing a significant… [read post]
7 Nov 2016, 6:30 am
FINRA explains its rationale for creating the new CAB category by noting that there are corporate financing firms that solely advise companies on M&A, advise issuers on raising capital in private placements with institutional investors, or provide corporate advisory services on a consulting basis. [read post]
11 Sep 2010, 9:26 pm
Section 3 provides that an ownership interest or an investment interest:[1] (a) may be through equity, debt or other means; but (b) shall not include ownership of investment securities, including shares or bonds, debentures, notes or other debt instruments, which were purchased on terms generally available to the public and which are in a corporation that is listed for trading on the New York stock… [read post]
21 Mar 2007, 9:07 pm
For example, in many contexts the right to privacy is protected and advanced by using steganographic messages and one can certainly appreciate using steganography to protect important personal information like passwords, lock combinations, trade secrets, and financial information. [read post]
11 Feb 2016, 7:34 am
" Attached to her e-mail was Judge Davidson's signed, final award in favor of Holland, and Judge Davidson's unsigned decision that ruled in favor of Rueda. [read post]
23 Apr 2012, 3:09 am
bec : E? [read post]
29 May 2008, 7:28 pm
Pressman Settlements Corporation Shelly Justice Selective Settlements Structured Financial Associates, Inc. [read post]
29 Feb 2008, 10:52 am
Pressman Settlements Corporation Robin Young Company Selective Settlements Structured Financial Associates, Inc. [read post]
29 Apr 2008, 11:03 am
Pressman Settlements Corporation The Settlement Services Group Shelly Justice Selective Settlements Structured Financial Associates, Inc. [read post]
27 Jun 2008, 11:15 pm
Pressman Settlements Corporation Shelly Justice Selective Settlements Speaking of Settlements Structured Financial Associates, Inc. [read post]
15 Sep 2021, 9:52 am
With recent economic and other business disruptions causing insolvency or other business distress for many businesses, companies sponsoring or contributing to pension plans subject to the Pension Benefit Guarantee Corporation(“PBGC”) funding and insurance rules and those involved in their leadership, sale, liquidation or other resolution should use care to monitor these plans, their funding, and their funding obligations to avoid becoming subject to financial… [read post]
17 May 2024, 6:30 am
Posted by Joel Paula, FCLTGlobal, on Monday, May 13, 2024 Tags: AI, Artificial intelligence, ESG, Glass Lewis, ISS The 2024 Audit Committee agenda and the questions investors should be asking Posted by Sophie Gauthier-Beaudoin and Tim Copnell, KPMG, on Tuesday, May 14, 2024 Tags: Audit committee, Audits, Cybersecurity, ESG, ESG disclosures, Financial reporting, Generative AI, Governance reform, investors The Distinction Between Direct and Derivative Shareholder Claims Posted by Jim… [read post]
17 May 2024, 6:30 am
Posted by Joel Paula, FCLTGlobal, on Monday, May 13, 2024 Tags: AI, Artificial intelligence, ESG, Glass Lewis, ISS The 2024 Audit Committee agenda and the questions investors should be asking Posted by Sophie Gauthier-Beaudoin and Tim Copnell, KPMG, on Tuesday, May 14, 2024 Tags: Audit committee, Audits, Cybersecurity, ESG, ESG disclosures, Financial reporting, Generative AI, Governance reform, investors The Distinction Between Direct and Derivative Shareholder Claims Posted by Jim… [read post]
8 Mar 2007, 6:48 am
Earlier this week we told you about “Obamalot.” Today we have “Operation Spamalot.” The SEC yesterday halted trading in nearly three dozen companies in a campaign to block e-mails promoting stocks to unsuspecting investors. [read post]
5 Dec 2011, 8:45 pm
By way of background, on July 21, 2011, ALJ E. [read post]
10 May 2017, 6:06 pm
Keywords: sovereign wealth funds, development, corporate social responsibility, world bank, international monetary fund, sovereign investment JEL Classification: E02, F02, F63, H87, K33, M48, P45, R58Section I. [read post]
12 Apr 2011, 9:31 am
I found Mary E. [read post]
27 Jan 2017, 6:08 am
Dyson, K&L Gates LLP, on Saturday, January 21, 2017 Tags: Algorithmic trading, Broker-dealers, BSA/AML, Disclosure, Due diligence, Financial institutions, FINRA, High-frequency trading, Investor protection, Money laundering, Private enforcement, Reporting regulation, Risk management, Securities enforcement Top 10 Topics for Directors in 2017 Posted by Kerry E. [read post]
