Search for: "AG Investment Corporation"
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1 Jun 2012, 7:37 am
A must read impact investing article in The Atlantic Caroline Preston: Is philanthropy print journalism's last hope? [read post]
31 Jan 2023, 6:31 am
For example, a recent letter signed by seventeen state AGs argues that mutual support of climate policies by investment fund managers does not violate the Sherman Act. [read post]
31 Jan 2023, 6:31 am
For example, a recent letter signed by seventeen state AGs argues that mutual support of climate policies by investment fund managers does not violate the Sherman Act. [read post]
8 Oct 2008, 1:56 pm
In mid-February, the auctions for the investment instruments failed. [read post]
23 Jul 2009, 2:02 pm
Butler's lawyer Paul Weinstein said in his opening argument that Credit Suisse's corporate clients made a lot of money for years from their investments. [read post]
24 Sep 2007, 6:11 am
My investment property is currently in foreclosure,will the bank attach my primary residence if I file a Chapter 7? [read post]
25 Nov 2020, 5:32 am
A broker or an investment adviser must perform a suitability test taking into account investor’s financial health, tax status, age, risk tolerance, liquidity, just to name a few criteria before making an investment recommendation. [read post]
25 Nov 2020, 5:32 am
A broker or an investment adviser must perform a suitability test taking into account investor’s financial health, tax status, age, risk tolerance, liquidity, just to name a few criteria before making an investment recommendation. [read post]
16 Jun 2011, 2:29 am
RiskMetrics (through ISS Governance Services) provides corporate governance data and we subscribe their Directors Data through WRDS: RiskMetrics. [read post]
13 Apr 2018, 10:58 am
They must ensure that each investment recommendation that is made is suitable for the investor in light of the investor’s age, risk tolerance, net worth, financial needs, and investment experience. [read post]
31 Jan 2019, 4:00 am
An open letter to law firms penned by 170 general counsel and corporate legal officers from companies across the U.S. warns law firms whose record of partnership promotions fails to reflect the diversity of the general population that they may face dire consequences from a number of leading corporations. [read post]
19 Feb 2021, 8:33 am
FINRA Arbitration Claims Against Fahsholtz Pile Up Over Past Three Years Fahsholtz is facing five pending customer disputes, all of which concern his recommendations that customers invest in corporate debt instruments and unit investment trusts (UITs). [read post]
1 Dec 2022, 10:25 am
It will increase tax hurdles for new corporate investment, discouraging capital formation. [read post]
30 Apr 2018, 2:29 pm
Rather than investing the time and energy spent on reshaping ATS (and the constructions of relevant international law) to suit the times (as the legal community has sought to do for a generation), the opinion appears to suggest that this time might be better spent on getting the desired result in Congress. [read post]
15 Apr 2013, 1:02 pm
In addition, financial advisors must perform adequate due diligence to ensure recommendations are suitable for an investor given age, liquidity needs, financial objectives and risk tolerance. [read post]
3 Jun 2015, 6:02 am
By preventing these investors from investing in riskier securities, regulators restrict their ability to invest in high-return securities. [read post]
13 Sep 2012, 7:26 pm
In the largest individual federal payout in our nation’s history, the Internal Revenue Service has awarded ex-UBS AG (UBSN) Bradley Birkenfeld $104 million for acting as a whistleblower and exposing wide scale tax evasion involving the Swiss Bank. [read post]
22 Jan 2021, 12:05 pm
” That means a broker needs to have a “reasonable basis to believe a recommended transaction or investment strategy…is suitable” based on the client’s investment profile, which is determined by things like their financial situation, age, objectives, risk tolerance and ability to understand the risks. [read post]
6 May 2016, 7:18 am
Second, the broker then must match the investment as being appropriate for the customer’s specific investment needs and objectives such as the client’s retirement status, long or short term goals, age, disability, income needs, or any other relevant factor. [read post]
3 Nov 2021, 1:21 pm
An operating agreement is akin to a hybrid shareholder agreement/ bylaws for a corporation. [read post]
