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19 May 2017, 7:30 am
The three approaches to determining capital requirements under the proposed rule can be summarized as follows:In the event that an SD is a bank affiliate, capital requirements and methods permitted by bank regulators are acceptable; If an SD is a broker-dealer or futures commission merchant, that party may look to either the CFTC or SEC for its net liquid assets requirements; andSDs that are primarily engaged in non-financial activities, as well as MSPs, may… [read post]
19 May 2017, 6:08 am
Securities and Exchange Commission, on Tuesday, May 16, 2017 Tags: Capital formation, Capital markets, Crowdfunding, IPOs, JOBS Act, Private equity, Regulation A, SEC, Securities regulation, Small firms, Tech companies, Underwriting, Venture capital firms Stuck with Steckman: Why Item 303 Cannot be a Surrogate for Section 11 Posted by Aaron J. [read post]
17 May 2017, 11:02 am
Kubsch, 16-1021, a gruesome capital case out of Indiana. [read post]
17 May 2017, 10:36 am
Both companies are highly profitable and have astronomic market capitalizations. [read post]
17 May 2017, 9:50 am
For instance, if the data show that financial institutions approve relatively few applications for certain types of small business loans or certain small business loan amounts, that could fuel arguments that banking regulators should adjust capital adequacy rules for those types or sizes of loans, or that the Small Business Administration (SBA) should ease documentation requirements around those types or sizes of SBA loans. [read post]
17 May 2017, 8:57 am
However, it’s not always the case that the company actually needs the new capital it ends up raising by selling new shares. [read post]
17 May 2017, 7:20 am
It was not immediately apparent how large a cut the bank’s depositors would take. [read post]
17 May 2017, 3:19 am
The European Central Bank (ECB) has published guidance on leveraged transactions. [read post]
17 May 2017, 3:05 am
The Fed justified the restrictions by pointing out that in the lead-up to the 2008 crisis, big banks paid out capital via dividends, then months later needed capital from taxpayers to stay alive. [read post]
17 May 2017, 2:49 am
The capital letter is a code to indicate whether the cross-reference is to a Form 1099, 1098, W-2, or some other document sent to Sacramento. [read post]
15 May 2017, 7:27 am
For example, Barr said that it would be “insane” to pull back provisions mandating the supervision of systemically important insurance companies and investment banks. [read post]
15 May 2017, 6:47 am
Durante las negociaciones, la AAFAF y el BGF fueron asistidos por O’Melveny & Myers, como asesores legales; Rothschild & Co., como banco de inversiones; Ankura Consulting Group, como asesor financiero; y Bank of America Merill Lynch. [read post]
15 May 2017, 4:44 am
The EBA guidelines should be read in conjunction with the provisions of the Capital Requirements Regulation and the Capital Requirements Directive IV regarding internal governance, credit risk, disclosures, supervisory review and evaluation process and requirements, and supervisory measures and powers, as supplemented by the relevant technical standards adopted by the European Commission. [read post]
12 May 2017, 2:08 pm
Here’s what it has to say about some key issues in disclosure, governance and capital formation, along with some commentary. [read post]
12 May 2017, 10:00 am
Venture capital financing can be an extremely important asset to startups that do not have access to other types of traditional business financing, such as bank loans or the public markets. [read post]
12 May 2017, 6:21 am
Roe, Harvard Law School, on Wednesday, May 10, 2017 Tags: Agency costs, Capital markets, Deregulation, Financial reform, Financial regulation, International governance, Legal systems Lessons Beyond Corwin: Columbia Pipeline and Saba Software Posted by Jason M. [read post]
11 May 2017, 7:07 pm
Her resume included stints at Bear Stearns and Bain Capital before she gave all of that up to attend New York’s French Culinary Institute. [read post]
11 May 2017, 11:17 am
Watch the video of this event here: “Rewarding Corporate Whistleblowers: Will this Improve Canadian Capital Markets? [read post]
11 May 2017, 7:39 am
Chamber of Commerce; Todd Hollander, Union Bank; and Robert Villarreal, CDC Small Business Finance. [read post]
10 May 2017, 6:06 pm
The first was its contribution to the productivity of capital and investment across global markets, enriching those societies in which it might graze—as long as it played by the rules. [read post]
