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26 Nov 2023, 6:30 am
Jackson, Jr.; and Pre-Disclosure Accumulations by Activist Investors: Evidence and Policy by Lucian Bebchuk, Alon Brav, Robert J. [read post]
20 Nov 2023, 9:01 pm
Madoff Investment Securities LLC (BLMIS) was a Ponzi scheme led to its liquidation under the Securities Investor Protection Act (SIPA).1 A SIPA liquidation is designed to collect “customer property” for ratable distribution among customers based on their “net equity” — investments minus withdrawals (i.e., loss of principal).2 SIPA largely incorporates the Bankruptcy Code and allows the SIPA trustee to recover property transferred by the debtor that… [read post]
13 Nov 2023, 5:40 pm
As used in section 1128B of the Act, “remuneration” does not include any payment made by a principal to an agent as compensation for the services of the agent, as long as all of the following standards are met: (details here). [read post]
8 Nov 2023, 6:12 am
Investors are expected to suffer substantial principal losses with little chance of a meaningful recovery from the GWG bankruptcy. [read post]
29 Oct 2023, 10:00 am
While calling for the Convention to first focus on the life insurance industry, he noted the root causes of failure by insurance companies: The principal causes of the numerous failures seem to have been: 1. [read post]
27 Oct 2023, 9:25 pm
For the purpose of the Joint Circular, “VA-related products” refer to investment products which: (a) have a principal investment objective or strategy to invest in VAs; (b) derive their value principally from the value and characteristics of VAs; or (c) track or replicate the investment results or returns which closely match or correspond to VAs. [read post]
26 Oct 2023, 10:57 pm
ASIC also released two new legislative instruments relating to investor directed portfolio services (IDPS) and IDPS-like schemes, commonly referred to as platforms: ASIC Corporations (Investor Directed Portfolio Services Provided Through a Registered Managed Investment Scheme) Instrument 2023/668; and ASIC Corporations (Investor Directed Portfolio Services) Instrument 2023/669. [read post]
25 Oct 2023, 10:58 am
If three times the original principal is returned to investors, the SPV gives 30% of subsequent revenue share to MAPS. [read post]
18 Oct 2023, 7:36 pm
All of this is well known, though not much discussed, as the principal actors driving (and resisting) this movement tend to focus on the micro-analytics and micro-politics of the process. [read post]
11 Oct 2023, 9:05 pm
Corporate misconduct thus reflects agency costs where an agent (the manager) betrays a principal (the company). [read post]
8 Oct 2023, 3:37 pm
Clean drinking water is the principal environmental concern today for those in my office and residents in about half of Baltimore City, Baltimore County, and Howard County who should not drink the water. [read post]
4 Oct 2023, 2:08 pm
Such a claim is commenced by one or more shareholders on behalf of and for the benefit of a corporation but not commenced by the corporation itself. [read post]
3 Oct 2023, 12:46 pm
Rapidly growing startup companies often receive funding directly from private investors, like Venture Capital firms, Private Equity funds, or individual Angel Investors. [read post]
24 Sep 2023, 9:01 pm
Simpson (“Shen”).[6] In particular, SB 264 contains three separate sections prohibiting covered foreign persons from owning or acquiring interests in land in Florida: Section 692.202 states that “foreign principals” cannot “directly or indirectly own, have a controlling interest in, or acquire by purchase, grant, devise, or descent” any “agricultural land” in the state.[7] The term “foreign principal” captures, inter alia,… [read post]
20 Sep 2023, 9:01 pm
Although the ESRS contains all “principal adverse impact” data under the Sustainable Finance Disclosure Regulation (“SFDR”), all such data is subject to the materiality filter, meaning that sponsors will not necessarily receive “principal adverse impact” data from all portfolio companies in scope of SFDR. [read post]
13 Sep 2023, 6:00 am
Mellon was a highly successful financier; one of the world’s first venture-capital investors (financing hundreds of enterprises); a leading philanthropist (original and main benefactor of the National Gallery of Art); and secretary of the U.S. [read post]
11 Sep 2023, 4:15 pm
While corporate governance covers a broad spectrum of topics, this article focuses primarily on the principal duties of directors and officers generally understood in the United States. [read post]
7 Sep 2023, 9:01 pm
Principal due to be paid on eligible LTD in less than one year would not count toward the requirement. [read post]
1 Sep 2023, 6:07 am
” One dispute includes “violation of the California Corporations Code. [read post]
25 Aug 2023, 11:47 am
The firms reportedly failed to provide training to their representatives and principals on the sale and supervision of multi-share class variable annuities. [read post]
