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17 Nov 2016, 1:25 pm
What can governments, civil society, investors and progressive companies do to counteract this trend? [read post]
16 Nov 2016, 8:46 am
(IPI), with allegedly running high-pressure sales contests at community banks. [read post]
14 Nov 2016, 2:12 am
The performance of SOEs on issues of governance and human rights is mixed, with reported cases of corruption and lack of transparency, and harm caused to workers and communities throughout SOEs’ operations. [read post]
7 Nov 2016, 9:31 am
We strongly encourage any investor who suspects their broker and/or broker-dealer of having lost them money on dubious terms to at least skim this report to see if you recognize any names, schemes, products, or securities. [read post]
7 Nov 2016, 6:30 am
Private funds relying on section 3(c)(7) of the 1940 Act must, among other things, only admit qualified purchasers as investors; while, on the other hand, private funds relying on section 3(c)(1) of the 1940 Act may also admit accredited investors. [read post]
3 Nov 2016, 9:30 pm
Department of Justice (DOJ) and the state of California, and which is reportedly likely to focus on whether Wells Fargo should have disclosed to its investors the fact that it was being investigated for opening unauthorized consumer accounts before a $185 settlement between the bank and the Consumer Protection Financial Bureau (CFPB) was announced in September. [read post]
28 Oct 2016, 1:00 am
Distracted Shareholders and Corporate Actions Posted by Alberto Manconi, Bocconi University, on Friday, October 21, 2016 Tags: Accountability, Acquisitions, Agency costs, Behavioral finance, Information environment, Institutional Investors,Management, Mergers & acquisitions, Oversight CEO Succession Practices in the S&P 500: 2016 Edition Posted by Matteo Tonello, The Conference Board, Inc., on Friday, October 21, 2016 Tags: Board communication, Board independence,… [read post]
21 Oct 2016, 1:00 am
Nadler, Nadler Advisory Services LLC, on Wednesday, October 19, 2016 Tags: Board communication, Board composition, Board dynamics, Boards of Directors, Director qualifications, Diversity,Engagement, Executive turnover, Management, Oversight, Shareholder activism, Succession It Pays to Set the Menu: Mutual Fund Investment Options in 401(k) Plans Posted by Veronika Krepely Pool, Indiana University, on Thursday, October 20, 2016 Tags: 401(k), Conflicts of interest, ERISA, Fiduciary… [read post]
10 Oct 2016, 6:42 pm
In creating a boiler-room sales environment, the bank failed its investors and front-line employees, but it also failed its customers and communities….However, Wells Fargo has not had a new CRA rating released since 2008, even though its last CRA exam occurred in 2012. [read post]
7 Oct 2016, 2:40 pm
Lin, Professor of Law, University of California, Davis, School of Law—Community Levers for Benefit Sharing James N. [read post]
5 Oct 2016, 10:02 am
“Credit Suisse conveyed to the investing community that it followed a structured process for recognizing net new assets when, in fact, the process was reverse-engineered to meet targets,” said Andrew J. [read post]
3 Oct 2016, 4:56 am
Hampton Pearson at CNBC profiles upcoming cases that present “issues front-and-center to investors and the business community. [read post]
30 Sep 2016, 6:09 am
Nagy, Indiana University, on Monday, September 26, 2016 Tags: Compliance & ethics, Duty of loyalty, Exchange Act, Fiduciary duties, Inside information, Insider trading, Liability standards, Regulation FD, Rule 10b-5, SEC enforcement, Securities enforcement, Securities fraud, Securities litigation,Securities regulation, STOCK Act, Supreme Court How to Disclose a Cybersecurity Event: Recent Fortune 100 Experience Posted by Luke Dembosky and Jeremy Feigelson, Debevoise & Plimpton LLP, on… [read post]
29 Sep 2016, 9:30 pm
RBS CEO Ross McEwan stated that he “would like to clean these [settlements] up as quickly as we possibly can,” but the bank reportedly did not admit to any wrongdoing as part of the deal. [read post]
23 Sep 2016, 10:50 am
Among other things, a firm’s WSPs must address supervision of supervisory personnel and provide for the review of a firm’s investment banking and securities business, correspondence and internal communications, and customer complaints. [read post]
22 Sep 2016, 12:38 pm
The Federal Communications Commission requires telemarketers to transmit Caller ID information. [read post]
15 Sep 2016, 6:00 am
Brogdon for dozens of municipal bond and private placement offerings in which investors supposedly earn interest from revenues generated by the nursing home, assisted living facility, or other retirement community project supported by their investment. [read post]
9 Sep 2016, 3:00 am
” The New “Investors’ Exchange”: Should Companies Care? [read post]
6 Sep 2016, 10:49 am
Currency Scams Often Target Members of Ethnic Minorities Some currency trading scams target potential customers in ethnic communities, particularly persons in the Russian, Chinese and Indian immigrant communities, through advertisements in ethnic newspapers and television “infomercials. [read post]
1 Sep 2016, 11:51 am
Back in May, I testified (and blogged) about a dubious feature of the government’s multibillion-dollar settlement agreements with the big banks: These agreements provide for hundreds of millions of dollars in “donations” to various “community development” organizations that were neither parties to the case nor victims of the alleged wrongdoing. [read post]
