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5 Apr 2017, 5:37 am by Charlotte Henry and Gavin Punia
On inducements the following questions have been updated: Can the service of a third party arranging meetings with the management of a corporate issuer for an investment firm (corporate access) be considered as research that can be paid for from a research payment account (RPA) under Article 13(1)(b) of the Delegated Directive, and if not, how should firms providing independent investment advice or portfolio management services treat such services? [read post]
  Through a series of shell corporations such as Burke and Grace Avenue Corporation, Van Zandt allegedly operating this Ponzi scheme targeting residents of Bronx, New York. [read post]
16 Oct 2008, 12:55 pm
The other members of the panel were Brad Rangell, an investment banker with Citigroup, and Tony Tavares, the CEO of Sports Properties Acquisition Corp, the first sports & entertainment Special Public Acquisition Corporation (SPAC). [read post]
9 Sep 2011, 8:32 am by Lawrence Solum
As a consequence, some corporations may under-invest in private precautionary measures while others will be forced to over-invest and pass on the costs to their customers through artificially inflated prices. [read post]
27 Mar 2012, 2:00 am by Keith Paul Bishop
  In particular, the Committee requested that these investment advisers not be barred from receiving performance compensation (except as provided in Corporations Code Section 25234(a)(1) and Rule 260.234). [read post]
5 Jan 2009, 10:51 am
PG&E Corporation PNM Resources Siemens Corporation With much of the energy industry and the President-Elect supporting a stimulus package that invests in energy efficiency strategies, we are likely to see an influx of capital for green building projects. [read post]
29 Oct 2013, 7:15 am by James Hamilton
Finally, H.R. 1800 would direct the SEC to revise its rules and forms to allow business development companies to use the streamlined securities offering provisions available to other registrants under the Securities Acts. [read post]
27 Jul 2017, 7:00 am by Denise Gan
Therefore, office and residential investments are useful for diversifying portfolios and reducing risk. [read post]
2 Mar 2007, 12:45 am
If the child does not use the account for college, it grows to $34,000 by age 30 and $185,000 by age 65. [read post]
19 Jan 2012, 12:45 am by Kevin LaCroix
They contend that Delaware law allows the use of corporate charters to embody agreements between a corporation and its shareholders. [read post]
6 Oct 2009, 9:23 am
If you have any questions regarding this information, please contact Jamie Mercer at (858) 720-7469 or Jeralin Cardoso at (858) 720-7431. _____________________________________________________________ [1]Proposed Rule 14a-11 would apply to all companies that are subject to US proxy solicitation rules, including registered investment companies. [read post]
5 Dec 2014, 7:34 am by Allison Tussey
Lombardo repeatedly lied to dozens of small business owners and used an illegal scheme to defraud them of their hard-earned money. [read post]
8 Jan 2010, 2:12 pm by Kristen Prinz
Some of the biggest investment banks out there have set aside record bonus amounts for this year. [read post]
1 Jan 2023, 12:58 pm by D. Casey Flaherty
And in every case, we use value storytelling to show how modest investments in legal operations are going to create and preserve business value. [read post]
10 Jul 2014, 7:39 am by Nietzer
He wanted to get something for his prior investment. [read post]