Search for: "Capital One Financial Corporation"
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6 Aug 2024, 12:16 pm
The Corporate Transparency Act (CTA) is a federal law that requires business entities, like LLCs and corporations, to report information about their owners to the Financial Crimes Enforcement Network (FinCEN). [read post]
15 Aug 2023, 9:05 pm
After raising capital, the firm invests in one of two projects: the “green” project yields a low expected financial return but generates a valuable social externality; the “brown” project yields a high expected financial return but generates no social externality. [read post]
5 Apr 2015, 6:46 pm
A democracy chooses to allow the creation of corporations because they presumably provide some social function [unless one subscribes to the body politic doctrine]. [read post]
2 Mar 2009, 6:58 pm
One specific case was the government bailout of financial giants "Fannie Mae" and "Freddy Mac. [read post]
19 Nov 2010, 7:00 am
Kevin Perkins, Assistant Director of the FBI’s Criminal Investigative Division, reported that new corporate fraud cases, including newly identified Ponzi schemes, are up by 111 percent. [read post]
14 Oct 2008, 10:04 pm
They need financial literacy. [read post]
10 Nov 2014, 4:00 am
Here's how the numbers break down: Before one employee can come to work (and run that drill press or whatever) some Capitalist has to put up $127,000 in capital. [read post]
25 Nov 2015, 3:30 am
One of the more surprising of the many twists and turns in the latter area is the appearance of appraisal arbitrage. [read post]
2 Apr 2014, 1:04 am
The panelists were Jill Simeone, General Counsel and Chief Compliance Officer, KCAP Financial, Inc.; Michael Sternhell, Vice President and Associate Counsel, OppenheimerFunds; Carl McCarthy, General Counsel and Chief Compliance Officer, ACA Financial Guaranty Corporation; and Andrew Dominus, General Counsel and Chief Compliance Officer, Seer Capital Management. [read post]
2 Apr 2014, 1:04 am
The panelists were Jill Simeone, General Counsel and Chief Compliance Officer, KCAP Financial, Inc.; Michael Sternhell, Vice President and Associate Counsel, OppenheimerFunds; Carl McCarthy, General Counsel and Chief Compliance Officer, ACA Financial Guaranty Corporation; and Andrew Dominus, General Counsel and Chief Compliance Officer, Seer Capital Management. [read post]
20 Oct 2008, 12:00 pm
Section 1509 requires a shareholder who "becomes legally disqualified to practice his profession within the state" to "sever all employment with, and financial interests (other than as a creditor) in, such corporation forthwith or as otherwise provided in section 1510. [read post]
2 Feb 2018, 3:00 am
As I blogged last year, at least one Commissioner is on record as being open to permitting mandatory arbitration bylaws. [read post]
16 Sep 2019, 6:18 am
According to a BrokerCheck report, Sullivan has been subject to at least two customer disputes, one regulatory action, one financial disclosure, and three civil judgements during his career. [read post]
21 Apr 2024, 9:01 pm
Preferred Stock and Mandatorily Redeemable Stock: With the limited exception of “additional tier-one preferred stock” of certain regulated financial institutions, the proposed regulations do not provide any exceptions to the potential application of the Excise Tax for preferred stock, convertible preferred stock or mandatorily redeemable stock, including where such stock was issued prior to enactment of the Excise Tax. [read post]
2 Jul 2024, 6:00 am
Kevin Berg Grell, Crowdfunding: the Corporate Era, 2015. [read post]
22 Sep 2009, 6:23 am
Along with investigating the housing bubble, he also recommended that the FCIC consider as contributing factors: incentives for regulatory arbitrage, accounting practices, institutional practices such as corporate governance, capital requirements, and regulatory failures in allowing the financial crisis to spread. [read post]
14 Jul 2018, 5:17 am
Shulga is the co-founder of Ross & Shulga PLLC, a New York-based boutique law firm specializing in advising individual and corporate clients on aspects of corporate and securities law. [read post]
16 Jul 2011, 8:52 pm
A Financial Industry Regulator Authority Panel has ordered WedBush Securities Inc. to pay one of its traders over $3.5 million for refusing to properly compensate him. [read post]
22 Nov 2013, 7:25 am
All three are part of an initiative to enhance capital formation. [read post]
17 Jun 2012, 12:15 pm
Treasury has released the third package of amendments to the Corporations Regulations to implement FOFA. [read post]
