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19 Feb 2023, 9:01 pm
On February 7, 2023, Ishan Wahi (Ishan), a former Coinbase product manager, pled guilty to wire fraud charges in an indictment in the U.S. [read post]
23 Aug 2019, 6:17 am
Securities and Exchange Commission, on Thursday, August 22, 2019 Tags: Boards of Directors, Investment advisers, Proxy advisors, Proxy voting, SEC, Securities regulation, Shareholder voting [read post]
7 Jan 2015, 7:00 am
Rex Venture Group, LLC d/b/a ZeekRewards.com, and Paul R. [read post]
15 Jan 2016, 1:17 pm
Certain activities were also described as being activities intrinsic to section 7704(d)(1)(E) in the proposed regulations. [read post]
7 Jun 2019, 6:09 am
§ 1348 Posted by Mark D. [read post]
4 Sep 2012, 9:12 pm
Glencore currently owns 34% of Xstrata, but Qatar Holding LLC owns 12%, and has come out against the bid publicly. [read post]
19 Sep 2013, 12:51 pm
Steve Daines (R-MT); Ted Poe (R-TX); Rush Holt (D-NJ); Senator John Hoeven (R-ND) and representatives from Welspun Tubular LLC; U.S. [read post]
1 Oct 2018, 1:04 pm
With these latest alleged actions, Belsky is accused of violating a 2008 CFTC order prohibiting him and his previous company, Innovative Capital Management LLC, from engaging in any kind of trading in the wake of another alleged over $1M investment fraud. [read post]
22 Jul 2016, 11:01 am
We have been in discussions with certain Cayman law firms about how managers might use such LLCs in their offshore structures in future. [read post]
12 Dec 2017, 4:36 pm
Howey Co., which states that a security is an investment contract in which a person 1) invests their money; 2) in a common enterprise; 3) with an expectation of profits; 4) based on the efforts of the promoter or a third party. [read post]
14 Nov 2017, 3:27 am
” Chairman Clayton, a seasoned securities regulation veteran and expert cautioned that many ICO platforms were susceptible to manipulation and other fraudulent practices by ICO insiders, management, and better-informed traders. [read post]
22 Oct 2020, 8:11 am
Eichler Jr. for years in their legal battles with the company’s former business partner, money management firm Proctor Investment Managers LLC, and the U.S. [read post]
27 Sep 2011, 2:05 am
Disclosure Under Greater Scrutiny Both registered investment advisers and unregistered managers are generally required to make complete and accurate disclosures with respect to their investment programs. [read post]
3 Jan 2020, 5:37 am
JV Governance Posted by James Bamford, Tracy Branding, and Lois D’Costa, Water Street Partners LLC, on Saturday, December 28, 2019 Tags: Boards of Directors, Director qualifications, Joint ventures, Public firms, Shareholder value New Considerations for Special Litigation Committees Posted by Roger Cooper, Jared Gerber and Victor Hou, Cleary Gottlieb Steen & Hamilton LLP, on Sunday, December 29, 2019 Tags: Delaware… [read post]
6 Jan 2020, 12:00 pm
(HEXO), we’d like to hear from you. [read post]
19 Oct 2018, 6:08 am
Posted by Cydney Posner, Cooley LLP, on Friday, October 12, 2018 Tags: Boards of Directors, Director nominations, Proxy contests, Proxy voting, SEC, Securities regulation, Shareholder voting, Universal proxy ballots SEC Sanctions Investment Firm for Inadequate Cybersecurity and Identity Theft Prevention Policies Posted by Sabastian V. [read post]
29 Nov 2008, 11:47 am
Sargent advisers readers that EEO/iNews is a free publication of EEO Services by John D. [read post]
1 Jul 2009, 7:49 am
Once retained, monitoring and evaluation counsel can coordinate with the trustees, custodian, and investment managers to ensure that needed actions are taken. [read post]
1 Oct 2014, 8:44 pm
This post was contributed by Paul D. [read post]
26 Jan 2024, 1:40 pm
As a result, VFA violated NASD Rule 3010, FINRA Rules 2330(c), (d), and (e), and FINRA Rule 2010. [read post]
