Search for: "Matter of Will of Hester"
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15 Apr 2022, 2:34 pm
FINRA Rights REIT Wrongs With Fine and Suspension (BrokeAndBroker.com Blog)SEC Obtains TRO and Asset Freeze against Alleged Perpetrators of nearly $450 Million Ponzi Scheme (SEC Release)Court Orders Five Defendants in International Ponzi Scheme to Pay Over $13.1 Million (SEC Release)SEC Charges Former CFO and Son with Insider Trading (SEC Release)SEC Charges Four Defendants in Microcap Fraud Scheme (SEC Release)Statement Regarding SPAC Matter by SEC Commissioner Hester M. [read post]
8 Apr 2022, 5:50 am
Reed Posted by Hester M. [read post]
8 Apr 2022, 5:50 am
Reed Posted by Hester M. [read post]
6 Apr 2022, 6:12 am
Posted by Hester M. [read post]
6 Apr 2022, 6:12 am
Posted by Hester M. [read post]
11 Mar 2022, 6:01 am
., on Monday, March 7, 2022 Tags: Compensation ratios, Diversity, ESG, Europe, Executive Compensation, International governance How Sarah Bloom Raskin’s Confirmation May Affect Climate-Related Banking Regulation Posted by Jason Halper, Rachel Rodman, and Sara Bussiere, Cadwalader, Wickersham & Taft LLP, on Tuesday, March 8, 2022 Tags: Banks, Climate change, ESG, Federal Reserve, Financial institutions, Financial… [read post]
11 Feb 2022, 6:11 am
Securities and Exchange Commission, on Thursday, February 10, 2022 Tags: Cybersecurity, Investment advisers, Risk, Risk disclosure, SEC, Securities regulation Statement by Commissioner Peirce on Private Fund Advisers Proposal Posted by Hester M. [read post]
4 Feb 2022, 5:53 am
Fargo, Cravath, Swaine & Moore LLP, on Friday, January 28, 2022 Tags: Banks, Blockchain, Clearing houses, Cryptocurrency, Financial institutions, Financial regulation, Financial technology, Securities regulation, Stablecoins Guidance on Climate-Related Disclosure Posted by Benjamin Colton, Devika Kaul, and Michael Younis, State Street Global Advisors, on Friday, January 28, 2022 Tags: Asset management, Climate… [read post]
2 Feb 2022, 6:02 am
"] In Matter of Clark, the Kansas Commission on Judicial Performance had publicly censured a Magistrate Judge who had posted nude pictures of himself on a "dating website for couples"—something the Commission concluded violated Canons that mandated that "Judges should maintain the dignity of judicial office at all times, and avoid both impropriety and the appearance of impropriety in their professional and personal lives" and that they not "demean… [read post]
17 Dec 2021, 5:46 am
Posted by Hester M. [read post]
7 Nov 2021, 1:09 pm
” The SEC’s two Republican commissioners, Hester Peirce and Elad Roisman, criticized the guidance as being the “flavor of the day regulatory approach” reflecting the politics of the then current Administration, and while that may be correct many business leaders have articulated the larger matter is environmentally conscious stockholders, often owning only a handful of shares, driving corporate action, often action not concerned about the financial interest… [read post]
4 Nov 2021, 7:38 am
SLB 14L also stated that when determining whether a proposal probes matters “too complex” for shareholders to make an informed judgment, the staff may consider the sophistication of investors generally on the matter, the availability of data, and the robustness of public discussion and analysis on the topic. [read post]
4 Nov 2021, 6:08 am
Posted by Hester M. [read post]
2 Nov 2021, 2:05 am
But it does offer an important reminder to employers: Timing matters. [read post]
21 Oct 2021, 6:35 am
Making markets work for everyday investors gets to the heart of the SEC’s mission,” said Gensler.A joint public statement issued by Commissioners Hester Peirce and Elad Roisman questioned whether the GameStop report offered any conclusions upon which regulatory action could be based. [read post]
30 Sep 2021, 8:01 am
Commissioner Hester Peirce was the lone vote against the proposed amendments, stating that the say-on-pay proposal should be considered as a standalone rulemaking, rather than as part of the N-PX suite of proposed amendments. [read post]
30 Sep 2021, 6:12 am
Posted by Hester M. [read post]
28 Sep 2021, 6:29 am
Posted by Hester M. [read post]
12 Sep 2021, 4:54 pm
We have for years advised public companies about environmental matters and sustainability including navigating the complexity of the emergent ESG disclosure decision making landscape. [read post]
20 Aug 2021, 7:10 am
Nelson, J.D.SEC Commissioner Hester Peirce and CFTC Commissioner Dan Berkovitz spoke about regulatory issues surrounding the emerging field of decentralized finance or DeFi at the virtual Parallel Summit All Things DeFi event, hosted by the Chamber of Digital Commerce. [read post]
