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12 Nov 2020, 2:18 pm
None of the 50 investors have sued. [read post]
11 Nov 2020, 6:24 am
”1 Smarsh customers include 9 of the top 10 banks in the world. [read post]
6 Nov 2020, 7:39 am
The SEC should seek input from issuers, transfer agents, broker-dealers, clearing corporations, banks, investors, regulators, exchanges, underwriters, and industry experts at this dematerialization roundtable.Discussion. [read post]
5 Nov 2020, 9:03 pm
Department of the Treasury to authorize and financially support public banks. [read post]
5 Nov 2020, 3:05 am
• Investor awareness of CAMs communicated in the auditor’s report is still developing, but some investors are reading CAMs and find the information beneficial. [read post]
4 Nov 2020, 9:21 am
As a financial services entity, the company is subject to higher scrutiny and may face greater skepticism from investors about its growth prospects. [read post]
29 Oct 2020, 7:36 am
An astonishing 80% of central banks are engaging in work around central bank digital currencies, from research to experimentation and pilot programs. [read post]
16 Oct 2020, 6:41 am
In soliciting investors for the fund, the SEC alleges that the RIA not only misrepresented the fund’s past performance, the amount of assets managed and the owner’s experience as a portfolio manager, but also falsified brokerage records and investor account statements, and sent fake audit opinions to investors and third parties. [read post]
15 Oct 2020, 12:44 pm
The Bureau of Ocean Energy Management (“BOEM”) and the Bureau of Safety and Environmental Enforcement (“BSEE”) recently issued a proposed rule on Risk Management, Financial Assurance and Loss Prevention (“Proposed Rule”), which was published in the Federal Register on October 16, 2020 and is now open for public comment. [read post]
8 Oct 2020, 6:06 pm
ASIC has reminded responsible entities (REs) that their products must be “true to label” and not mislead investors, whereby redemption terms must be consistent with the underlying liquidity of the fund’s assets. [read post]
8 Oct 2020, 8:56 am
Ripple has been locked in a long-running battle with the SEC and investors over whether the digital currency XRP is a security. [read post]
8 Oct 2020, 5:11 am
Our most recent post on the Wakpamni Lake Community Corp. fraud is here. [read post]
7 Oct 2020, 2:04 pm
(The meaningful division of combined ownership, according to Ben Thompson of Stratechery, will depend on how shares of TikTok Global are distributed, since ByteDance, Walmart and Oracle each have both U.S. and non-U.S. investors.) [read post]
6 Oct 2020, 2:27 pm
ADRs are an easy way for US investors to buy foreign shares. [read post]
5 Oct 2020, 6:05 am
Schiff Professor of Investment Banking at Harvard Business School. [read post]
5 Oct 2020, 3:00 am
A two-sided marketplace involves the borrower on one side and the investor on the other side. [read post]
30 Sep 2020, 4:00 am
The country has a Start-up Act, adopted in 2018 after a unique bottom-up, participatory design process, driven by a group of entrepreneurs, investors, banks and an enlightened minister of technology. [read post]
28 Sep 2020, 3:00 am
Many of those lenders have become more frustrated by a lack of communication from the Small Business Administration. [read post]
25 Sep 2020, 7:19 am
The agency could also work with the banking regulators to address a House FSC staff report finding that women- and minority-owned firms are underrepresented as asset managers and that large banks generally do not prioritize investing with diverse firms. [read post]
24 Sep 2020, 3:09 am
A few years ago, Broc blogged about a “request for comment” on Guide 3 – the industry guide for banks and bank holding companies. [read post]
