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17 May 2024, 11:26 am
Despite FINRA’s bolstered fine revenue in 2023, FINRA ordered member firms to pay far less restitution to investors compared to past years. [read post]
17 May 2024, 6:30 am
Posted by Joel Paula, FCLTGlobal, on Monday, May 13, 2024 Tags: AI, Artificial intelligence, ESG, Glass Lewis, ISS The 2024 Audit Committee agenda and the questions investors should be asking Posted by Sophie Gauthier-Beaudoin and Tim Copnell, KPMG, on Tuesday, May 14, 2024 Tags: Audit committee, Audits, Cybersecurity, ESG, ESG disclosures, Financial reporting, Generative AI, Governance reform, investors The Distinction Between Direct and Derivative Shareholder Claims… [read post]
17 May 2024, 6:30 am
Posted by Joel Paula, FCLTGlobal, on Monday, May 13, 2024 Tags: AI, Artificial intelligence, ESG, Glass Lewis, ISS The 2024 Audit Committee agenda and the questions investors should be asking Posted by Sophie Gauthier-Beaudoin and Tim Copnell, KPMG, on Tuesday, May 14, 2024 Tags: Audit committee, Audits, Cybersecurity, ESG, ESG disclosures, Financial reporting, Generative AI, Governance reform, investors The Distinction Between Direct and Derivative Shareholder Claims… [read post]
17 May 2024, 5:00 am
We question the value of withholding vast amounts of banks’ privileged information and argue that, although this unique regulatory practice has a long history, it is not ethical in the context of fair treatment of investors in public entities. [read post]
17 May 2024, 4:30 am
But institutional investors also manage other people’s money. [read post]
17 May 2024, 2:27 am
A reluctance for investors to purchase or build properties for rent due to the general uncertainty. [read post]
17 May 2024, 2:00 am
Major investors in VC-backed financings customarily obtain contractual rights to receive access to financial and certain other information from the company. [read post]
16 May 2024, 9:01 pm
When brokers or advisers act on those conflicts and optimize to place their interests ahead of their investors’ interests, investors may suffer financial harm. [read post]
16 May 2024, 4:50 pm
The new fee affects customers of investor-owned power companies, including Pacific Gas & Electric, Southern California Edison and San Diego Gas & Electric. [read post]
16 May 2024, 9:43 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm dedicated to helping investors in claims in all 50 states against their financial professional or brokerage firm. [read post]
16 May 2024, 7:21 am
It will apply to non-UK companies where part of the offence takes place in the UK – such as a meeting or communication in the UK – or where there are victims in the UK, which could include investors or counterparties. [read post]
16 May 2024, 7:15 am
A formal agreement is even more crucial for complex companies with multiple shareholders and investors. [read post]
16 May 2024, 6:32 am
Meanwhile, institutional investors see responsible AI as an emerging engagement priority, and it’s no surprise that directors rank innovation and evolving technologies as a top priority in 2024. [read post]
16 May 2024, 6:32 am
Meanwhile, institutional investors see responsible AI as an emerging engagement priority, and it’s no surprise that directors rank innovation and evolving technologies as a top priority in 2024. [read post]
16 May 2024, 6:30 am
The Asian Corporate Governance Association (ACGA) recently formed a working group of members and other interested investors to discuss the issue of Japanese companies’ so-called “strategic shareholdings” that include allegiant and cross-shareholdings. [read post]
16 May 2024, 6:30 am
The Asian Corporate Governance Association (ACGA) recently formed a working group of members and other interested investors to discuss the issue of Japanese companies’ so-called “strategic shareholdings” that include allegiant and cross-shareholdings. [read post]
16 May 2024, 4:00 am
The WSJ editorial board concludes that “[t]he funds rejecting ESG are embracing their responsibility to investors. [read post]
16 May 2024, 3:55 am
Leaders who understand and are dedicated to their role in protecting the interests of investors through adherence to professional ethics, values, and attitudes—and instilling those priorities in their employees—are the foundation of a strong quality control system. [read post]
16 May 2024, 3:30 am
Catholic faith-based investors), with the consequent loss in the index fund’s concentrated voting power. [read post]
15 May 2024, 9:01 pm
Leaders who understand and are dedicated to their role in protecting the interests of investors through adherence to professional ethics, values, and attitudes—and instilling those priorities in their employees—are the foundation of a strong quality control system.[10] So when firm leadership fails to set a strong tone at the top—for example, by sweeping mistakes and bad behavior under the rug, treating violations of law as isolated incidents or the “cost of… [read post]
