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30 Jul 2007, 10:53 am
In a statement issued on the heels of the commissioners' meeting, Social Investment Forum Chairman Tim Smith warned that any new limit on the "rights of investors to participate in the advisory resolution process would trigger a repeat of the contentious 1997-1998 battle in which more than 300 socially responsible investment, religious, labor, and other groups coalesced to oppose an SEC staff plan to gut the shareholder resolution process. [read post]
30 Mar 2011, 7:00 am
In addition, the SEC has organized working groups specialized in certain areas such as new and structured products, valuation, and fixed income securities. [read post]
7 Mar 2019, 7:34 am
In addition, the company has created a customer advisory board and is in the process of creating a user group modeled on the Elite experience, which has a robust user community and annual user conference. [read post]
19 Jan 2012, 9:35 am
Walden Asset Management describes itself as “a leader in socially responsible investing”. [read post]
11 Jul 2017, 3:05 am
“Human Capital Management” Disclosure: A SEC Rulemaking Petition As noted in this press release, a group of institutional investors with $2.8 trillion in assets – that is “trillion” with a “T” – has filed this rulemaking petition with the SEC that includes 9 categories of disclosures about human capital management. [read post]
5 Sep 2017, 3:00 am
But Vanguard isn’t just sending a message to public company boards – as this Wachtell memo notes, its actions send an equally strong one to activists calling for index funds to relinquish their vote in contested situations: With respect to activist and academic-sponsored attacks on the major index funds’ ability to participate in contested situations, Vanguard’s commitment to prioritizing responsible and long-term oriented investment stewardship is… [read post]
6 Nov 2014, 6:09 pm
A Fellow in the American College of Employee Benefits Council, immediate past-Chair and current Welfare Benefit Committee Co-Chair of the American Bar Association (ABA) RPPT Employee Benefits & Other Compensation Arrangements, an ABA Joint Committee on Employee Benefits Council Representative, the ABA TIPS Employee Benefit Plan Committee Vice Chair, former ABA Health Law Section Managed Care & Insurance Interest Group Chair, past Southwest Benefits… [read post]
3 Mar 2015, 1:09 pm
Yesterday I attended the Coral Gables Forum candidates’ debate for Coral Gables Commission Group V election. [read post]
16 Mar 2011, 1:48 am
The sixteen debtor entities are:Amagansett Realty SPV 1, LLC Benedek Development Group, LLC L/C Family Limited Partnership Sentinel Investment Management Corp. [read post]
6 Jun 2023, 8:38 am
Grace & Company, Inc.,; Suzanne Gilbert is a veteran corporate executive with over 30 years of experience with the Interpublic Group of Companies (IPG); Larry Prendergast is Chairman of the Turrell Fund and serves on the advisory boards of several investment funds, including JPMorgan; and Joe Monteleone is a Partner at the Weber Gallagher Simpson Stapleton Fires & Newby LLP law firm. [read post]
9 May 2012, 8:49 pm
A Fellow in the American College of Employee Benefit Council, immediate past Chair of the American Bar Association (ABA) RPTE Employee Benefits & Other Compensation Group and current Co-Chair of its Welfare Benefit Committee, Vice-Chair of the ABA TIPS Employee Benefits Committee, a council member of the ABA Joint Committee on Employee Benefits, and past Chair of the ABA Health Law Section Managed Care & Insurance Interest Group, Ms. [read post]
23 Dec 2009, 5:56 am
(See Appendix A to this Advisory.) [read post]
10 Feb 2023, 8:01 am
Brian King, an investigator with King International Advisory Group who examines these kinds of crimes, says title fraud used to be almost non-existent before the pandemic. [read post]
24 Nov 2020, 3:04 am
• An overview of selected human capital-related topics and metrics across all 77 SASB industry standards – specifically, standards on labor practices; employee health & safety; employee engagement, diversity & inclusion; and supply chain management • A summary of SASB’s Human Capital Management Research Project, which has the objective of identifying opportunities for the SASB Standards to further account for human capital-related risks and… [read post]
10 Jul 2018, 3:57 am
Currently, Szczepanik serves as the Head of the SEC’s Distributed Ledger Technology Working Group, Co-Head of the Dark Web Working Group, and a member of the FinTech Working Group. [read post]
9 Mar 2007, 6:49 am
This group is part of the company’s Financial Advisory and Litigation Consulting Services practice. “Dan, Lela and Cliff will be valuable resources for Aon Consulting’s e-discovery clients,” said Jerry F. [read post]
14 Jul 2011, 11:06 am
Section 203(e) of the Advisers Act: If an investment adviser fails to reasonably supervise an employee or any other person subject to the adviser’s supervision, and that person violates the federal securities laws, then the SEC may take action against such investment adviser In the Matter of Pegasus Investment Management, LLC, Peter Bortel, and Douglas Saksa (.pdf) (June 15, 2011) Pegasus VP Peter Bortel, under the supervision of President and CCO Douglas… [read post]
31 Mar 2017, 8:11 am
At the SEC, we started a FinTech working group. [read post]
15 May 2020, 2:47 pm
Their main focus is on investment advisors and advisory firms that recommended and sold the TGA Fund investments to their customers without first conducting adequate due diligence as to the TGA Funds or their manager. [read post]
15 May 2020, 2:47 pm
Their main focus is on investment advisors and advisory firms that recommended and sold the TGA Fund investments to their customers without first conducting adequate due diligence as to the TGA Funds or their manager. [read post]
