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11 Aug 2023, 12:49 pm
Default is the failure to repay a debt including interest or principal on a loan or security. [read post]
3 Aug 2023, 11:22 am
FSC Securities Corporation Censured and Fined November 2017 – FINRA sanctioned FSC Securities Corporation on August 10, 2017, with a censure and fine of $100,000, and ordered the firm to pay $492,485.33 in restitution to customers. [read post]
2 Aug 2023, 11:54 am
Default is the failure to repay a debt including interest or principal on a loan or security. [read post]
1 Aug 2023, 4:27 pm
Thus, companies choose to make disclosures related to ESG factors because many investors and consumers want to understand whether the companies in which they invest or from whom they purchase products and services are taking actions—either beneficial or harmful—that may impact corporate stakeholders[5] and, in turn, have an effect on present and/or future shareholder value. [read post]
29 Jul 2023, 2:17 am
M&A transactions are different from equity “financing” transactions, in which a company raises money by selling new shares of its equity securities to investors (as opposed to existing stockholders selling their shares to the Buyer in an M&A transaction), even though equity financing transactions also involve the sale of stock in the company and can sometimes result in a change in control of the company. [read post]
28 Jul 2023, 1:02 pm
” In total, investors in the Ponzi scheme were owed over $110,000,000 in principal. [read post]
25 Jul 2023, 9:05 pm
As I will suggest later, the ESG culture-war attack has been fostered by those whose principal objection to ESG is precisely the climate change element. [read post]
25 Jul 2023, 12:15 pm
The other is to clarify specific narrative positions (as they are modified) and to underline the principal themes that are to be carried forward between one Forum and the next. [read post]
19 Jul 2023, 9:05 pm
Scope 2 emissions are those attributable to producing the energy (principally electricity) that the company buys. [read post]
13 Jul 2023, 12:22 pm
During the following months, FINRA alleges that Kim actively misled the firm’s principals, representatives, and customers, into believing that the fund had purchased Company A shares at the $9.75 price. [read post]
6 Jul 2023, 10:17 am
It makes companies more accountable and transparent to investors and gives them the tools to respond to stakeholder concerns. [read post]
30 Jun 2023, 6:11 pm
I am delighted to pass along the news that Dini Sejko's excellent article, "Sovereign Investors as ICSID Claimants: Lessons from the Drafting Documents and the Case Law," has been published in the Vanderbilt Journal of Transnational Law, Vol. 56(3):853-903, 2023.The abstract lays out the principal arguments:Abstract: The prominence of state-controlled entities (SCEs) in foreign direct investment (FDI) flows has created multilayer regulatory… [read post]
29 Jun 2023, 3:11 am
The court defines the structural elements principally necessary to attain the constitutional protection of Art. 6 ss 1 Basic Law. [read post]
5 Jun 2023, 9:30 pm
[As longtime LHB readers know, I post here the essays I research and write for my exam in American Legal History, which principally treats the years 1898 to 1962. [read post]
5 Jun 2023, 6:31 am
In PwC’s 2021 Annual Corporate Directors Survey, more than half (53%) of directors say that board members (other than the CEO) engaged directly with the company’s shareholders during the prior year. [read post]
5 Jun 2023, 6:31 am
In PwC’s 2021 Annual Corporate Directors Survey, more than half (53%) of directors say that board members (other than the CEO) engaged directly with the company’s shareholders during the prior year. [read post]
31 May 2023, 6:30 am
But the justices’ willingness in the right case to tell investors to take a zero is hardly what one would expect from devoted champions of capital. [read post]
25 May 2023, 9:25 am
Client onboarding requirements Except for institutional[1] and qualified corporate professional investors[2], Platform Operators are required to assess a client’s risk tolerance levels and assess whether it is suitable for a client to participate VA trading and set a VA exposure limit for each client. [read post]
21 May 2023, 9:05 pm
Less discussed is how corporate law itself treats these boundaries when applying its regime of corporate governance and investor protection. [read post]
14 May 2023, 7:20 pm
Refine the principal calendar. [read post]
