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1 Feb 2023, 9:01 pm
Thank you Thomas [Kim] for that lovely introduction and I’m very pleased to be here at the Securities Regulation Institute giving the Alan B. [read post]
28 Jan 2023, 7:32 am
Over the past few years, massive asset managers and financial institutions have increasingly focused on prioritizing ESG factors when making key investment decisions. [read post]
23 Jan 2023, 4:34 pm
Keppler is a director of the Estate Law Specialist Board Inc. [read post]
18 Jan 2023, 6:42 am
” Ed Schory & Sons, Inc. v. [read post]
23 Dec 2022, 8:27 pm
Arete Wealth Management, LLC. [read post]
15 Dec 2022, 8:00 am
District Court for the District of New Hampshire granted the SEC’s motion for summary judgment against LBRY, Inc., holding that LBRY offered a crypto asset in violation of the registration provisions of federal securities laws. [read post]
15 Dec 2022, 4:00 am
District Court for the District of New Hampshire granted the SEC’s motion for summary judgment against LBRY, Inc., holding that LBRY offered a crypto asset in violation of the registration provisions of federal securities laws. [read post]
5 Dec 2022, 8:26 am
Blackwells Capital Attempts to Replace AR Global as External Manager of GNL According to the DIWire this week, Blackwells Capital LLC, an activist investor, reportedly filed a preliminary proxy statement on Friday to attempt to replace AR Global (Formerly American Realty Capital) as the external manager of Global Net Lease Inc. [read post]
23 Nov 2022, 8:48 am
Barndollar reportedly worked as a registered representative of Crown Capital, as well as provided asset management services as a registered investment advisor. [read post]
3 Nov 2022, 11:00 pm
In addition, foreign entities acquiring local credit should register the transaction with the Central Bank of Brazil as direct investment in a local asset, in order to facilitate remittance of cash and payment of capital gain taxes in the future. [read post]
28 Oct 2022, 6:30 am
Fairfax (University of Pennsylvania) , on Thursday, October 27, 2022 Tags: board diversity, Board of Directors, Corporate Social Responsibility, dei, Diversity, Long-Term value Assessing the Executive Pay Landscape Ahead of 2023 Posted by Amit Batish, Equilar, Inc., on Thursday, October 27, 2022 Tags: Board of Directors, Disclosure, Executive Compensation, Pay for performance, Proxy advisors, SEC [read post]
25 Oct 2022, 10:46 am
If a cryptocurrency asset is deemed to be a security, a broker or dealers trading of an unregistered asset could lend itself to potential liability. [read post]
5 Oct 2022, 1:13 pm
Advisor Chad Barancyk (Barancyk), formerly employed by brokerage firms First Allied Securities, Inc. [read post]
5 Oct 2022, 8:34 am
In July, the SEC charged broker-dealer Western International Securities, Inc. [read post]
4 Oct 2022, 2:57 pm
SFA and earnings thereon must be segregated from other plan assets and may be used only to pay plan benefits and administrative expenses. [read post]
21 Sep 2022, 5:57 am
From June 2013 through March 2017, Reffett was registered with Triad Advisors, Inc. [read post]
29 Aug 2022, 11:58 am
Affinity Health Plan, Inc. [read post]
19 Aug 2022, 6:30 am
Securities and Exchange Commission, on Saturday, August 13, 2022 Tags: Asset management, Index funds, Institutional Investors, Investment advisers, Investor protection, PCAOB, Retail investors, SEC, Securities regulation Should Your Company Go Private? [read post]
19 Aug 2022, 6:30 am
Securities and Exchange Commission, on Saturday, August 13, 2022 Tags: Asset management, Index funds, Institutional Investors, Investment advisers, Investor protection, PCAOB, Retail investors, SEC, Securities regulation Should Your Company Go Private? [read post]
12 Aug 2022, 6:52 am
In this post, we analyze the responses of the 10 largest U.S. asset managers, including Vanguard, BlackRock, Fidelity Investments, Capital Group, State Street Global Advisors, T. [read post]
