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30 Jul 2022, 6:30 am
By extending FINRA oversight to potentially dozens of broker-dealers, the proposed amendments would strengthen oversight of firms trading securities across several markets, helping to protect investors and maintain fair, orderly, and efficient markets. [read post]
27 Jul 2022, 7:01 am
This is aimed at supporting ESMA in directing its supervisory resources to areas where the greatest risks lie, and to adapt its supervisory efforts to the evolving nature of the financial markets, with the ultimate goal of ensuring investor protection and stable and orderly markets. [read post]
27 Jul 2022, 3:29 am
These stats aren’t too surprising: BlackRock emphasized the need for an “orderly transition” to net-zero in commentary early this year, which Lawrence wrote about on PracticalESG.com. [read post]
26 Jul 2022, 9:01 pm
For those of you who haven’t yet memorized it, the agency’s mission comprises investor protection, capital formation, and the maintenance of fair, orderly, and efficient markets.[3] To begin with investor protection, which is a core function of the Division of Investment Management, what matters to investors most is protecting and growing their treasure. [read post]
25 Jul 2022, 9:01 pm
Since its founding more than 85 years ago, the SEC has stayed true to its three-part mission of protecting investors, maintaining fair, orderly, and efficient markets, and facilitating capital formation. [read post]
25 Jul 2022, 5:00 am
By Suzanne CosgroveAppearing before the House Subcommittee on Investor Protection, Entrepreneurship and Capital Markets, SEC enforcement director Gurbir Grewal told legislators he aimed to restore the public’s trust in financial markets and “make clear that there is only one set of rules” while maintaining the SEC’s mission -- ensuring fair, orderly and efficient markets, and facilitating capital formation. [read post]
21 Jul 2022, 8:56 am
These costs will be substantially lower if firms take early, orderly action [read post]
17 Jul 2022, 10:38 pm
The Owners hereby acknowledge and agree that, in order to provide for the orderly management and administration of the Property and for prompt and unified decisions with respect to Unanimous Consent Events, the Owners will be bound by the decision of all of the Owners, as determined pursuant to this Agreement. . . . [read post]
13 Jul 2022, 6:29 am
The SEC, working in coordination with other government agencies whose primary responsibility it is to protect the environment, also has a role to play to the extent climate risk implicates the SEC’s tripartite mission of investor protection, maintaining fair, orderly and efficient markets, and facilitating capital formation. [read post]
13 Jul 2022, 6:29 am
The SEC, working in coordination with other government agencies whose primary responsibility it is to protect the environment, also has a role to play to the extent climate risk implicates the SEC’s tripartite mission of investor protection, maintaining fair, orderly and efficient markets, and facilitating capital formation. [read post]
12 Jul 2022, 1:16 pm
Hong Kong must operate within one country (of which it forms a part) and between two systems of outside normative expectations (within which it seeks to operate in economic, social and cultural spaces). [read post]
12 Jul 2022, 7:45 am
This will need to happen, but the overall health of the economy and financial system requires an orderly rotation. [read post]
11 Jul 2022, 7:18 am
The results show that an orderly green transition translates into lower losses than disorderly or no policy action. [read post]
11 Jul 2022, 5:01 am
{The court concluded the parents made a "demonstrable factual showing that … would their names be disclosed, they would likely be subject to threats and intimidation, which would be wholly inappropriate and frustrate the orderly functioning of the court case. [read post]
7 Jul 2022, 5:01 am
In a 5-4 decision on June 30, the Supreme Court cleared away a major obstacle to the Biden administration ending the Trump administration’s “Remain in Mexico” program (officially called Migrant Protection Protocols or MPP). [read post]
7 Jul 2022, 3:56 am
When a company is no longer able to pay its debts, the US Bankruptcy Code may offer help by enabling it to either discharge its debt in an orderly fashion or reorganize its debt while continuing to operate. [read post]
6 Jul 2022, 4:45 pm
A close examination of the words of the Justices, the institutional principles underlying the roles of the Court and Congress, and the values that support the orderly development of the law suggests that under certain circumstances, the Court should “let sleeping legal dogs lie. [read post]
6 Jul 2022, 2:15 pm
Plaintiff sued, claiming he was entitled under the state constitution to have a hearing on his petitions, but the court disagreed: Except for minor differences in punctuation, Part I, Article 32 provides now as it provided when it was first enacted: The people have a right, in an orderly and peaceable manner, to assemble and consult upon the common good, give instructions to their representatives, and to request of the legislative body, by way of petition or remonstrance, redress of the… [read post]
1 Jul 2022, 5:58 am
The Supreme Court yesterday ruled that the Biden administration can end the notorious Remain in Mexico policy. [read post]
29 Jun 2022, 12:35 pm
X, § 9(2)(a)—the appropriate means by which to maintain a safe, secure, and orderly educational environment in its classrooms and on its campuses and properties. [read post]
