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12 Feb 2016, 6:03 am
Securities & Exchange Commission, on Wednesday, February 10, 2016 Tags: Accredited investors, Board composition, Boards of Directors, Crowdfunding, Disclosure, Diversity, Dodd-Frank Act, Engagement, Investor protection, JOBS Act, Liquidity, Proxy access, SEC enforcement, SEC rulemaking, Securities enforcement, Securities Regulation, Shareholder activism, Shareholder rights Activist Settlements and Heightened Scrutiny—Ebix Posted by Robert C. [read post]
12 Feb 2016, 6:03 am
Securities & Exchange Commission, on Wednesday, February 10, 2016 Tags: Accredited investors, Board composition, Boards of Directors, Crowdfunding, Disclosure, Diversity, Dodd-Frank Act, Engagement, Investor protection, JOBS Act, Liquidity, Proxy access, SEC enforcement, SEC rulemaking, Securities enforcement, Securities Regulation, Shareholder activism, Shareholder rights Activist Settlements and Heightened Scrutiny—Ebix Posted by Robert C. [read post]
12 May 2017, 6:21 am
Gilley, Cornerstone Research, on Sunday, May 7, 2017 Tags: Broker-dealers, Disclosure, FCPA, Financial reporting, Insider trading, SEC enforcement, Securities enforcement, Securities regulation CHOICE Act 2.0: House Financial Services Committee Revises Regulatory Reform Bill Posted by John C. [read post]
19 Aug 2016, 6:16 am
FEC, Disclosure, Glass Lewis, Institutional Investors, ISS, Lobbying, No-action letters, Political spending, Proxy advisors, Proxy season, Proxy voting, SEC, SEC rulemaking, Shareholder proposals,Shareholder voting [read post]
3 Apr 2012, 1:03 am
Supreme Court’s March 26, 2012 issuance of its unanimous opinion in the Credit Suisse Securities (USA) LLC v. [read post]
27 Dec 2023, 3:54 am
But the legacy of these early limited liability companies lives on in corporations, LLCs, and LLPs.[1] The Limits of Limited Liability Bifurcation of business and personal assets—the cornerstone of limited liability legal structures—is not absolute. [read post]
26 May 2017, 6:33 am
Miller, Ethics Metrics LLC, on Thursday, May 25, 2017 Tags: Banks, Compliance & ethics, Disclosure, Financial crisis, Financial institutions, Financial regulation, Information asymmetries, Information environment, Investor protection, Public interest, SIFIs, Systemic risk, Transparency 2017 IPO Report Posted by Mick Bain and Lia Der Marderosian, Wilmer Cutler Pickering Hale and Dorr LLP, on Thursday, May 25, 2017 Tags: Boards of Directors, Capital formation, Capital… [read post]
5 Sep 2016, 6:30 am
Will Collective Investor Litigation Outside the U.S. [read post]
21 Feb 2020, 6:13 am
Niles, Wachtell, Lipton, Rosen & Katz , on Thursday, February 20, 2020 Tags: Disclosure, Due diligence, Engagement, Environmental disclosure, ESG, Firm valuation, Institutional Investors, Mergers & acquisitions, Risk management, Stakeholders, Target firms [read post]
14 Sep 2015, 4:32 pm
To be sure, the value investor “does not believe that the market price accurately reflects public information at the time he transacts. [read post]
5 Dec 2011, 12:53 pm
Those cases suggest that regular branch office inspections over reasonably short intervals, including unannounced inspections, are the cornerstone of a well-designed branch office inspection program. [read post]
13 May 2011, 7:26 am
Deb Schwartz at AHI’s World Habitat Day event in Washington DC The tax credits are being syndicated and the fund co-managed by the National Affordable Housing Trust, a nonprofit syndicator based in Columbus, Ohio, and Cornerstone Real Estate Advisors, LLC, a unit of Massachusetts Mutual Life Insurance Company (Mass Mutual). [read post]
27 Feb 2008, 10:00 am
Introduction The idea that by engaging in fraudulent behavior one incurs liability for the foreseeable harm caused by such behavior is a cornerstone of the law. [read post]
5 Apr 2019, 6:54 am
Digital Verdict Discovery Litigation Services Diversified Legal Services Diversified Risk Management Doar Litigation Consulting Duff & Phelps Eisner Amper LLP Elite Document Technology Epiq (DTI) Ernst & Young LLP Forensic Data Services FTI Consulting/Technology GlassRatner Advisory & Capital Group LLC Gibson Arnold & Associates Guidepost Solutions LLC H5 Hancock Firm HaystackID (Inspired Review) Haley Stuart, LLC Hire Counsel HP (Autonomy) HR Legal Search… [read post]
16 Jun 2016, 2:48 pm
John Reed Stark As I noted in a recent post, on June 8, 2016, the SEC, in what one commentator called “the most significant SEC cybersecurity-related action to date,” announced that Morgan Stanley Smith Barney LLC had agreed to pay a $1 million penalty to settle charges that as a result of its alleged failure to adopt written policies and procedures reasonably designed to protect customer data, some customer information was hacked and offered for sale online. [read post]
30 Dec 2019, 3:00 pm
LLC Nathan Associates NightOwl Discovery New Jersey Legal Novus Law Nuix (Ringtail) OpenText (Catalyst, Daegis) Pathway Forensics Precise Inc. [read post]
20 Apr 2023, 1:20 pm
Kraken’s model depended on pooling the assets transferred by investors and staking them on behalf of those investors. [read post]
3 Jan 2017, 4:28 pm
These settlements emphatically demonstrate that the era of significant investor collective investor actions outside the U.S. has arrived. [read post]
22 Feb 2016, 4:36 pm
The 1934 Act requires that pertinent information be available to investors. [read post]
22 Apr 2024, 1:11 pm
Given the potential for the return of significant IPO activity, it is worth noting that IPO transactions entail certain risks, including in particular for the IPO companies’ private equity backers, as discussed in the following guest post written by Michelle Grimaldi, Assistant Vice President, Claims, Fair American Insurance and Reinsurance Company; Elan Kandel, Member, Bailey Cavalieri LLC; and James Talbert, Associate, Bailey Cavalieri LLC. [read post]
