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8 Nov 2023, 3:58 am by Jonathan Bench
Our due diligence team regularly accomplishes very important due diligence from afar by getting a complete suite of contracts and related documents and comparing those to financial and bank records, and by scouring the Chinese Internet for hepful official and unofficial records. [read post]
13 May 2014, 5:49 pm by Christopher Bruner
For example, stockholdings in Japanese companies have de facto dispersed over the last couple decades (due to the unwinding of “keiretsu” cross-shareholding structures, as the deteriorating economy forced banks to sell in order to meet their regulatory capital requirements), a development giving rise to hostile takeover attempts in the 2000s. [read post]
6 Oct 2011, 12:58 pm by S2KM Limited
Because banks were prohibited from owning U.S. insurance companies in 1993, the California Insurance Department sued Credit Lyonnais and other parties alleging violations of the federal Bank Holding Company Act, the California Insurance Code and other California statutes. [read post]
2 Sep 2015, 6:54 am by Kelly Phillips Erb
Finally, Ogbazion faces a statutory maximum sentence of 30 years in prison and up to a $1 million fine on the bank fraud charges. [read post]
13 Mar 2012, 9:14 am by Ralph Wilde
In his introduction, Tai-Heng Cheng claims that international law promotes universally-desired values ‘such as global banking standards and agreements that enable capital to move across borders’. [read post]
15 Dec 2017, 1:02 pm by Green, Schafle & Gibbs
 FINRA Firms & Brokers, Fined & SanctionedNoble Capital Markets, Inc. fka Noble Financial Capital Markets (CRD® #15768, Boca Raton, Florida) and Nicolaas Petrus Pronk (CRD #1726101, Lighthouse Point, Florida) Without admitting or denying the allegations, the firm and Pronk consented to the sanctions and to the entry of findings that they recommended and sold nearly a million shares of a company’s common stock to customers without disclosing the firm’s… [read post]
25 Jul 2014, 10:37 am by Tara Hofbauer
Key measures include closing EU capital markets to Russian state-owned banks, an embargo on arms sales to Moscow, and restrictions on the supply of energy and dual-use technologies. [read post]
15 Nov 2019, 10:28 am by Adam Levitin
First, there is leverage at the portfolio company leverage. [read post]
16 Jan 2012, 7:03 pm by Kyle Hulten
A Regulation D offering is intended to make access to the capital markets possible for companies that could not otherwise afford the costs of registering securities. [read post]
11 Dec 2009, 11:38 am by James Hamilton
Any costs for dismantling a failed financial company will be repaid first from the assets of the failed firm at the expense of shareholders and creditors. [read post]
19 Jan 2009, 5:56 am
For the gains with Madoff were ordinary income or short term capital gains rather than long term capital gains, and were therefore taxed at the rate on ordinary income, not the far lower rate applicable to long term capital gains. [read post]
28 Nov 2011, 8:57 pm
" [3] The first hint of missing customer funds was released on October 31, 2011 when Interactive Brokers announced they are walking away from a purchase of MF Global due to accounting discrepancies. [read post]
8 Jan 2014, 4:41 am by Kenneth Vercammen
Power of Attorney        Do not use a form purchased online, unless it contains reference to the NJ statute requiring banks to honor the Power of Attorney. [read post]
31 Jan 2013, 7:27 pm by Kenneth Vercammen
Power of Attorney        Do not use a form purchased online, unless it contains reference to the NJ statute requiring banks to honor the Power of Attorney. [read post]
31 Jan 2013, 7:22 pm by Kenneth Vercammen
Power of Attorney        Do not use a form purchased online, unless it contains reference to the NJ statute requiring banks to honor the Power of Attorney. [read post]
15 Oct 2021, 5:42 am by John Jascob
Turning to another area of ESG disclosures, Murphy said staff is working hard to develop recommendations on human capital disclosure. [read post]