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26 Apr 2022, 8:25 am
Damages were sought by the claimant for breach of an implied duty owed by the bank to its customers, as explained in Barclays Bank plc v Quincecare Ltd [1992] 4 All E.R. 363. [read post]
4 Feb 2022, 6:10 am
The district court’s order denying class certification on typicality grounds described the scenario in which plaintiff Automotive Industries Pension Trust Fund (AIPTF) acquired its unsponsored Toshiba ADRs: AIPTF hired ClearBridge Advisors LLC, which in turn worked with Barclays Capital LE (based in New York), which used OTC Link to purchase the ADRs. [read post]
21 Jan 2022, 2:17 pm
In this matter, initiated by a whistleblower under New Mexico’s Fraud Against Taxpayer’s Act, New Mexico secured a settlement with Barclays Capital Inc., Citigroup Global Markets Inc., Goldman Sachs & Co. [read post]
21 Jan 2022, 2:17 pm
In this matter, initiated by a whistleblower under New Mexico’s Fraud Against Taxpayer’s Act, New Mexico secured a settlement with Barclays Capital Inc., Citigroup Global Markets Inc., Goldman Sachs & Co. [read post]
23 Nov 2021, 6:04 am
., for Barclays alone, the compensation packages of 1746 employees are currently affected by this regulation (see Barclays 2020 Pillar 3 report). [read post]
15 Nov 2021, 10:39 am
No. 5065 (Nov. 19. 2018) (alleging that the adviser inconsistently applied tiered “breakpoints” that reduced advisory fees as the total amount of client assets under management increased and failed to aggregate or “household” related account balances of the same client and clients within the same household for the purposes of achieving the advisory fee breakpoint discounts); In re Barclays Capital Inc., Advisers Act Rel. [read post]
15 Nov 2021, 10:39 am
No. 5065 (Nov. 19. 2018) (alleging that the adviser inconsistently applied tiered “breakpoints” that reduced advisory fees as the total amount of client assets under management increased and failed to aggregate or “household” related account balances of the same client and clients within the same household for the purposes of achieving the advisory fee breakpoint discounts); In re Barclays Capital Inc., Advisers Act Rel. [read post]
3 Nov 2021, 8:07 am
(CRD#:7870), MORRISTOWN, NJ07/19/2010 – 09/16/2013, FIDELITY BROKERAGE SERVICES LLC (CRD#:7784), WAYNE, NJ12/01/2008 – 05/19/2010, BARCLAYS CAPITAL INC. [read post]
2 Aug 2021, 9:03 pm
Regulators began strategizing for a LIBOR transition in 2012 after Barclays and other banks manipulated the interest rate. [read post]
14 May 2021, 6:07 am
Posted by Maria Castañón Moats and Paul DeNicola, PricewaterhouseCoopers LLP, on Tuesday, May 11, 2021 Tags: Boards of Directors, ESG, Lobbying, Management, Political spending, Reputation The Promise of Diversity, Inclusion, and Punishment in Corporate Governance Posted by James Spindler (University of Texas) and Jeffrey Meli (Barclays), on Tuesday, May 11, 2021 Tags: Accountability, Accountable Capitalism… [read post]
11 May 2021, 5:55 am
Posted by James Spindler (University of Texas) and Jeffrey Meli (Barclays), on Tuesday, May 11, 2021 Editor's Note: James C. [read post]
22 Apr 2021, 8:58 am
The supreme court pledges to properly handle monopolistic disputes in the internet sphere, improve antitrust judging rules for the platform economy, prevent the unchecked expansion of capital, and push for the regulated, healthy and sustainable development of online platforms. [read post]
20 Apr 2021, 8:40 am
The discussion draft also was the subject of a hearing held by the House Financial Services Committee’s Subcommittee on Investor Protection, Entrepreneurship and Capital Markets, which is chaired by Rep. [read post]
15 Apr 2021, 8:32 am
Private Placement investment is an alternative investment where a company that is seeking to raise capital does so by approaching institutional investors privately. [read post]
15 Apr 2021, 8:32 am
Private Placement investment is an alternative investment where a company that is seeking to raise capital does so by approaching institutional investors privately. [read post]
24 Feb 2021, 11:04 am
In the first half of 2020, more than $275 billion of new sustainable financing had been raised on capital markets. [read post]
20 Nov 2020, 3:00 am
The company, WestExec Advisors, describes itself as a “strategic advisory firm” that helps private businesses navigate potential challenges around the world, including international laws, “geopolitical trends,” and “changes in Washington and in other capitals. [read post]
11 Nov 2020, 6:24 am
Barclays acted as exclusive financial advisor to Digital Reasoning. 1 Gartner, “Magic Quadrant for Enterprise Information Archiving”, Michael Hoeck, Jeff Vogel, October 27, 2020. [read post]
15 Oct 2020, 1:01 pm
” They were unsuccessful in their trademark application, which was opposed by Barclays Capital Inc. and Barclays PLC (“Barclays”). [read post]
8 Oct 2020, 8:56 am
Legal and Regulatory Developments SPOTLIGHT: House Panel Says Big Tech Wields Monopoly PowerWall Street Journal – October 6, 2020 America’s biggest technology companies have leveraged their dominance to stamp out competition and stifle innovation, according to a Democratic-led House panel, which said Congress should consider forcing the tech giants to separate their dominant online platforms from other business lines. [read post]
