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9 Jul 2019, 12:57 pm
Under the final rule, which is unchanged from the proposal, community banks with $10 billion or less in total consolidated assets and total trading assets and liabilities of 5 percent or less of total consolidated assets are excluded from the Volcker Rule.The final rule also permits a hedge fund or private equity fund, under certain circumstances, to share the same name or a variation of the same name with an investment adviser as long as the adviser is not an insured depository… [read post]
25 May 2019, 7:29 am
Institutional investors routinely make use of brokers to execute their trades. [read post]
3 Mar 2007, 5:53 am
As personal liability concerns have risen for directors over the last five years, particularly after Sarbanes-Oxley, and some business leaders have decided to pass on invitations to sit on corporate boards, it is reassuring to know that bright business people remain willing to devote their time and energy to publicly-traded companies. [read post]
7 Jul 2022, 11:30 am
Big corporations and their lobbyists want to preserve a system where American families and small businesses are left to fend for themselves against those that repeatedly violate the law. [read post]
16 Apr 2015, 2:55 pm
At the time, this was the largest corporate bankruptcy of all time, eclipsing Enron. [read post]
28 Mar 2012, 6:45 am
” Section 16(b) creates a cause of action so that “a corporation or security holder of that corporation may bring suit against the officers, directors, and certain beneficial owners of the corporation who realize any profits from the purchase and sale, or sale and purchase, of the corporation’s securities within any 6-month period. [read post]
21 Oct 2008, 8:45 pm
CDS contracts are the means by which financial institutions insure themselves against the risks of defaults on securitized assets or other corporate obligations. [read post]
23 Feb 2023, 9:01 pm
The spoofed orders lured other market participants to trade at prices, quantities, or times that they wouldn’t have otherwise traded. [read post]
15 Feb 2012, 4:53 am
Maastricht University, Faculty of LawProfessor Paolo Farah organised with a grant from China-EU School of Law (CESL) in Beijing three conferences on China and Non-trade Issues. [read post]
31 Jul 2012, 3:12 pm
At the same time, capital markets became increasingly dominated by financial institutions and other institutional investors. [read post]
24 Jul 2022, 11:08 am
For almost as long as I've been working in trade policy, Dani Rodrik has been pushing for more protectionism and industrial policy, less trade and globalization, and weaker international trade institutions. [read post]
10 Aug 2022, 7:07 pm
Comparisons among enterprises, among institutions, and among states, proved quite useful in drawing insights that students found profitable. [read post]
4 Mar 2011, 11:11 am
This matter was resolved between AT&T and the FCC as AT&T agreed to pay the government $500,000 and institute a plan to comply with the program, yet AT&T did not concede liability. [read post]
1 Aug 2022, 3:53 am
In this post, we summarise emerging litigation and investigations trends and their practical implications for financial institutions (FIs). [read post]
1 Jan 2012, 10:56 am
For example, Canadian financial institutions actively rely on the systems operated by The Depository Trust & Clearing Corporation (DTCC) for clearing and settlement of transactions involving US securities. [read post]
5 Oct 2017, 12:00 am
The primary materials for this case may be found on the DU Corporate Governance website. [read post]
30 Jul 2020, 10:00 pm
The statutory basis for banking regulation in Finland is set out in the Finnish Act on Credit Institutions (610/2014) (“ACI“). [read post]
6 Oct 2020, 8:42 am
The head of the Spanish state, King Felipe VI, represents the unity and continuity of the state’s institutions. [read post]
11 Jan 2008, 8:35 pm
The positive reaction of large Indian firms contrasts with the mixed reaction to the Sarbanes-Oxley Act (which is similar to Clause 49 in important respects), suggesting that the value of mandatory governance rules may depend on a country's prior institutional environment. [read post]
25 Feb 2012, 3:51 pm
So the drumbeat for lower corporate taxes--at a time when corporations are paying less as a proportion of GDP than they did in the time of our most sustained economic growth--continues unabated from the right joined by only slightly less enthousiastic accompaniment at the White House and think tanks like the Tax Policy Institute. [read post]
