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13 Feb 2014, 1:12 pm
Telstra Corporation; The Board must not acquire a direct equity holding of voting shares in Telstra Corporation Limited except as a result of a transfer of financial assets by the responsible Ministers under clause 6 of Schedule 1 of the Act or a gift of financial assets under clause 7 of Schedule 1 of the Act. 8. [read post]
4 Mar 2017, 6:05 am
According to a letter to investors dated January 2015, Cypress Income Fund II has completely liquidated. [read post]
12 Jul 2021, 5:55 am
The SEC’s primary focus is on “greenwashing,” the practice of conveying a false image to investors that a product is ESG-friendly. [read post]
13 Oct 2015, 5:00 am
The 2015 survey of 24 engaged activist firms revealed that 70% expect an increase in cooperation or “future partnerships” with institutional investors and pension funds in pursuing their target companies – and all perceive greater acceptance by these institutional investors. [read post]
9 Jan 2013, 6:47 am
As co-chairs of the Committee of academics that petitioned the SEC to develop rules requiring public companies to disclose their spending on politics, we are pleased that the SEC has indicated that it plans to move forward on these rules, and we are optimistic that rules will soon be in place to give investors the information they need to assess how corporate funds are spent on politics. [read post]
30 Sep 2008, 12:35 pm
Even with the current influx of oil and gas money, many Alberta companies complain that local investor interest in high tech businesses is non-existant. [read post]
2 Dec 2018, 8:24 am
Related research from the Program on Corporate Governance includes Index Funds and the Future of Corporate Governance: Theory, Evidence, and Policy by Lucian Bebchuk and Scott Hirst (discussed on the Forum here); The Agency Problems of Institutional Investors by Lucian Bebchuk, Alma Cohen, and Scott Hirst (discussed on the Forum here); Horizontal Shareholding (discussed on the Forum here); and New Evidence,… [read post]
6 Sep 2022, 9:01 pm
Although UPC contests will increase the workflow of institutional investors, many funds have ramped up teams to evaluate these situations in recent years, so they are likely well prepared for this shift. [read post]
17 Nov 2003, 6:07 am
In Monday's corporations law news, Morgan Stanley has agreed to pay a fine of $50 million as part of a settlement with the Securities and Exchange Commission and the National Association of Securities Dealers regarding disclosure of fees and other information to investors who had bought certain mutual funds since the beginning of 2000. [read post]
20 Nov 2003, 2:41 pm
Baxter of the Pilgrim-Baxter Funds, accusing them of fraud and illegal trading to benefit favored investors at the expense of longer-term shareholders. [read post]
4 Jun 2014, 6:28 am
Activist hedge funds continue to find ways to use public M&A transactions as a tool to generate returns for their investors. [read post]
30 Apr 2019, 5:57 am
Related research from the Program on Corporate Governance includes The Myth that Insulating Boards Serves Long-Term Value by Lucian Bebchuk (discussed on the Forum here); The Long-Term Effects of Hedge Fund Activism by Lucian Bebchuk, Alon Brav, and Wei Jiang (discussed on the Forum here); The Uneasy Case for Favoring Long-Term Shareholders by Jesse Fried (discussed on the Forum here); and Can We Do Better by Ordinary Investors? [read post]
22 Nov 2011, 3:10 pm
On November 22, 2011, the SEC filed a complaint alleging that the Solaris Fund, which is purported to be a non-diretional hedge fund with approximately 30 investors, made a radical change in direction in the fund's investment strategy by becoming wholly invested in Positron Corporation, a troubled microcap company which Patrick Rooney has been Chairman of since 2004. [read post]
14 Mar 2013, 6:36 am
The SRP, a clinical program operating at Harvard Law School, works on behalf of public pension funds and charitable organizations seeking to improve corporate governance at publicly traded companies, as well as on research and policy projects related to corporate governance. [read post]
17 Aug 2022, 3:37 am
Specifically, the SEC wants to know whether ESG funds that market their influence on corporate action are recalling loaned shares before votes occur. [read post]
6 Dec 2011, 5:34 pm
As a result, Robert Van Zandt decided to raise money from investors, using the funds of the new investors to repay the old investors. [read post]
28 Jul 2011, 12:49 pm
Written by Jay Gould Pillsbury’s Investment Funds & Investment Management team has submitted a comment letter to the California Department of Corporations (the “DOC”) on behalf of the California Hedge Fund Association in connection with the DOC’s recently proposed amendments to the California custody rule. [read post]
Crowdfunding Right Now (Fund Model, Broker-Dealer Model, Lending Platforms and Intrastate Offerings)
6 Aug 2014, 10:49 am
Accredited investors become members (or limited partners) of the fund in a Rule 506(b) offering. [read post]
14 Oct 2009, 4:00 am
One of the key rules for private investment funds is that their investors generally need to be “accredited investors. [read post]
9 May 2024, 11:59 am
The claim alleges that a Newbridge Securities Corporation advisor recommended that the Claimant invest funds she received as beneficiary of her son’s life insurance policy into high-risk and unsuitable investments. [read post]
