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9 Dec 2016, 1:00 am
Securities and Exchange Commission, on Wednesday, December 7, 2016 Tags: Capital markets, Corporate Social Responsibility, Disclosure, Environmental disclosure, ESG, Financial reporting, Information environment, Regulation S-K, Reporting regulation, SEC, Securities regulation, Sustainability The Dark Side of Blockholder Philanthropy Posted by Thomas Shohfi, Rensselaer Polytechnic Institute; and Roger M. [read post]
26 Jan 2023, 9:30 am
In the aftermath of the late-2000s financial crisis, the 2010 Dodd-Frank Act added Section 27B to the Securities Act. [read post]
9 Jul 2010, 11:37 am
Was Rhonda Bentzen's email and the the attachments thereto, "approved sales material" as that term is defined in securities regulations? [read post]
14 Jul 2022, 7:39 am
(CRD#:10641) of New Bedford, MA, LPL Financial Corporation (CRD#:6413) of East Falmouth, MA, and Securities America, Inc. [read post]
16 Jan 2024, 4:41 pm
Misuse of Company Assets In a corporation, the Board of Directors has a great deal of power, including the authority to handle the company’s assets and funds. [read post]
23 Mar 2020, 7:58 am
Directors should assess all aspects of the company’s business, seek input from legal and financial advisers where helpful, hold Board meetings as often as needed, follow good corporate process, and continue to avoid conflicts of interest. [read post]
22 Jun 2023, 11:26 am
Article 6(1) of the UK Prospectus Regulation provides that a prospectus must contain the necessary information which is material to an investor for making an informed assessment of (amongst other things) the issuer’s assets and liabilities, profits and losses, financial position, and its prospects. [read post]
28 Apr 2011, 6:15 am
” Section 621 purports to ban material conflicts of interest between banks (in their capacity as underwriters) and investors in offerings of asset-backed securities. [read post]
26 May 2015, 11:32 am
A consolidated report combines information concerning most or all of the customer’s financial holdings regardless of where those assets are held. [read post]
11 Mar 2022, 1:05 pm
The KJK securities team can offer legal counsel across the spectrum of corporate and securities law. [read post]
28 Jan 2022, 5:47 am
Stakeholder Governance and Purpose of the Corporation Posted by Martin Lipton, Wachtell, Lipton, Rosen & Katz, on Friday, January 21, 2022 Tags: Asset management, Boards of Directors, Corporate purpose, ESG, Institutional Investors, Long-Term value, Stakeholders, Sustainability Presidential Address: Corporate Finance and Reality Posted by John R. [read post]
28 Nov 2009, 5:00 am
Horizon Asset Mgmt. v. [read post]
1 Jan 2015, 5:48 am
” FINRA alleged that the GWG brochure further stated that the Debentures “are secured by all the corporate assets of GWG. [read post]
12 Oct 2018, 11:12 am
Hitt is accused of securities fraud involving his asset management firm Kiddar Capital, LLC. [read post]
10 May 2019, 6:17 am
Securities and Exchange Commission, on Friday, May 3, 2019 Tags: Accountability, Acquisition premiums, Disclosure, Financial reporting, Long-Term value, Mergers & acquisitions, Private benefits of control, SEC, Securities regulation, Shareholder value, Transparency L&G Active Ownership Report Posted by Sacha Sadan, Legal & General Investment Management Ltd., on Saturday, May 4, 2019 … [read post]
18 Aug 2011, 10:04 am
Therefore its administration will have a significant impact on the financial security of these families. [read post]
11 Mar 2007, 9:21 am
Peers are asked to rate their competitors on the basis of these 8 points: Innovation, People Management, Use of Corporate Assets, Social Responsibility, Quality of Management, Financial soundness, Long Term Investment and Product/Service Quality. [read post]
21 Mar 2011, 5:00 am
In April 2008, RBS announced a $11.6 billion asset write down as a result of its exposure to subprime securities. [read post]
17 Oct 2017, 2:02 pm
Financial Conduct Authority and the Australian Securities & Investments Commission.SEC Press Release--- If you need help with a securities litigation, arbitration or litigation issue, email Mark Astarita or call 212-509-6544 to speak to a securities lawyer. [read post]
31 Aug 2015, 9:00 am
As debtor in possession, you or your board can lay off employees, engage in litigation, sell off assets and secure new sources of funding. [read post]
