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1 Dec 2023, 10:14 am
Historically, boycotts were envisioned as a response to investor and buy-side risk, but also as part of a broader human rights framework. [read post]
1 Dec 2023, 9:17 am
” In a similar vein, Michael Canning (LXR Group, LLC) recently asked the Investor Advisory Committee to be skeptical of arguments that relaxing investor protections will benefit underserved communities: “Often, underserved communities benefit significantly and even disproportionately from the protections afforded by regulation. [read post]
1 Dec 2023, 3:00 am
Scott Perry by the District of Columbia Circuit Court of Appeals, which has heard litigation over special counsel Jack Smith’s effort to access the communications stored on Perry’s cell phone. [read post]
29 Nov 2023, 9:01 pm
In each of these cases, the SEC highlighted that respondents’ employees used unauthorized messaging platforms on personal devices to communicate about business matters, and the respondents failed to preserve the “substantial majority” of these communications. [read post]
20 Nov 2023, 9:01 pm
” 27 In other words, they knew they were doing business with BLMIS, had regular communications with it, and received payments from it: “Defendants’ alleged contacts with New York are not random, isolated or fortuitous. [read post]
19 Nov 2023, 9:05 pm
The Agency Theory: Although going public offers investors liquidity, diversification, and lower capital costs, a separation between management and ownership arises, leading to agency problems where managers’ interests may diverge from those of shareholders. [read post]
17 Nov 2023, 3:00 am
Exclusive: 5 Senate Banking Dems demand more details on corporate lobbying strategy Yahoo News – Taylor Giorno (The Hill) | Published: 11/15/2023 Five Democrats who sit on the Senate Banking Committee urged the Securities and Exchange Commission to require companies to disclose more details on their corporate lobbying strategy to shareholders. [read post]
15 Nov 2023, 6:26 am
In addition, the SEC obtained judgments from federal courts ordering: Danske Bank, a multinational financial services corporation, to pay a $178.6 million civil penalty to resolve charges that it misled investors about its anti-money laundering compliance program and failed to disclose risks posed by the program’s significant deficiencies; and Vale S.A. [read post]
14 Nov 2023, 9:01 pm
Using all the Enforcement Division’s Tools to Protect Investors and the Integrity of the Markets In fiscal year 2023, the SEC’s Division of Enforcement aggressively employed all of its tools to protect investors and promote market integrity. [read post]
13 Nov 2023, 5:05 am
The case concerns the Jacqueline Piatigorsky Revocable Trust, which contracted with Christie’s Fine Art Storage Services to store its extensive art collection, previously belonging to a deceased member of the Rothschild banking family. [read post]
12 Nov 2023, 6:32 am
The complaint seeks to recover damages on behalf of the classes of investors. [read post]
11 Nov 2023, 4:25 am
In addition, the SFC had mandated that security tokens should only be offered to professional investors (PIs). [read post]
9 Nov 2023, 3:41 pm
If believe you are a victim of the Tongi Tupe investment program, please contact Banks Law Office for a free consultation about your legal rights. [read post]
7 Nov 2023, 9:05 pm
That includes communicating why an AI solution was chosen, how it was designed and developed, on what grounds it was deployed, how it’s monitored and updated, and the conditions under which it may be retired. [read post]
3 Nov 2023, 8:28 am
Receiving constant communication from creditors attempting to resolve the balance can be overwhelming. [read post]
3 Nov 2023, 5:01 am
He was charged with misdemeanor cyberstalking and communicating threats. [read post]
2 Nov 2023, 9:05 pm
The rule originally required security programs for protecting customer information collected by non-banking financial institutions, such as mortgage brokers. [read post]
1 Nov 2023, 2:40 pm
Disclosure requirements are expected to be less prescriptive for venues which only admit institutional investors. [read post]
27 Oct 2023, 6:00 am
The rule aims at governing the practice of sharing consumer data through open banking. [read post]
26 Oct 2023, 12:50 pm
Set Clear Investment Objectives: Clearly communicate your investment objectives and risk tolerance to your broker. [read post]
