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12 Mar 2015, 4:45 am by Kevin LaCroix
  The consolidated complaint was filed on behalf of shareholders who purchased or acquired shares of Duke common stock between July 11, 2012 and July 9, 2012, including former Progress Energy shareholders who acquired Duke shares directly in the merger of Duke and Progress. [read post]
3 Mar 2017, 6:16 am
Posted by Jeff Schwartz, University of Utah, on Sunday, February 26, 2017 Tags: Accountability, Disclosure, Fair values, Financial reporting, Firm valuation, Fund managers, Investor protection, Liquidity, Mutual funds, Private equity, Retail investors, Risk disclosure, Risk-taking, SEC, Securities regulation, Tech companies, Venture capital firms Shareholder Proposals Regarding Lead Director Tenure: A Harbinger of Things to Come? [read post]
11 Jul 2014, 6:08 am by David Lat
. * “Duke University is not and never has been in the business of producing, marketing, distributing, or selling alcohol. [read post]
2 Apr 2011, 8:48 am by Kim Krawiec
I blogged a few times last year (here and here) about a great symposium on corporate board diversity co-sponsored last year by Duke and UNC law schools and Duke Energy. [read post]
7 Nov 2008, 5:35 pm
" In addition to new legislation, the SEC "has to be much tougher" on compensation disclosure, noted James Cox, a securities law professor at Duke University. [read post]
17 Jan 2020, 5:54 am
Securities and Exchange Commission, on Wednesday, January 15, 2020 Tags: Asset management, Capital markets, Diversity, Institutional InvestorsInvestor protection, Retail investors, SEC, Securities regulation Embracing the New Paradigm Posted by Martin Lipton, Wachtell, Lipton, Rosen & Katz, on Thursday, January 16, 2020 Tags: Accountability, Boards of Directors, Engagement, Fiduciary… [read post]
4 May 2021, 3:03 am by Lynn Jokela
The study also suggests that large investors engage in this “insider giving. [read post]
24 Dec 2007, 6:07 am
  It is for the protection and profit of their investors and those who decide to climb into bed with them, period. [read post]
6 Jun 2021, 7:01 am by Bill Mayew, Robert Hills, Matt Kubic
Bill Mayew, Robert Hills and Matt Kubic (of Duke, Penn State, and the University of Texas, respectively) argue that the SEC’s focus on terrorism has made it more likely to miss more traditional financial misreporting. [read post]
10 Dec 2021, 4:59 am
Birdthistle (Chicago-Kent College of Law) and Quinn Curtis (University of Virginia), on Monday, December 6, 2021 Tags: Conflicts of interest, DOL, ERISA, Fiduciary rule, Institutional Investors, Investment advisers, Investor protection, Mutual funds, Prudence, Retirement plans, Securities regulation U.S. [read post]
5 Feb 2021, 6:01 am
Robinson (Duke University), on Tuesday, February 2, 2021 Tags: Climate change, Corporate purpose, Corporate Social Responsibility, Environmental disclosure, ESG, Shareholder primacy, Stakeholders, Sustainability OFAC Will See You Now Posted by Amber Vitale and Eric J. [read post]
15 Jan 2021, 5:58 am
Harvey (Duke University), Ashwin Ramachandran, and Joey Santoro, on Thursday, January 14, 2021 Tags: Banks, Blockchain, Capital formation, Cryptocurrency, Equity offerings, Financial institutions, Financial regulation, Financial technology [read post]
1 Feb 2017, 9:30 pm by Charlie Rosenthal
Second, Schwarcz argues controlling a firm’s failure by allowing federal insurers to take charge of the firm and then subsequently sell it to more permanent equity investors is impractical. [read post]
10 Nov 2012, 7:54 am by Geoff Cockrell
In September, Duke LifePoint Healthcare (DLP), a joint venture of Duke University Health System and LifePoint Hospitals, announced that it had finalized the acquisition of Marquette General Health System in Michigan’s Upper Peninsula. [read post]
3 May 2019, 6:38 am
Why it matters: Vanguard’s Investment Stewardship Commentary Posted by Glenn Booraem, Vanguard, on Wednesday, May 1, 2019 Tags: Boards of Directors, Engagement, ESG, Index funds, Institutional Investors, Long-Term value, Shareholder voting, Stewardship, Vanguard Accounting Class Actions Filings and Settlements—2018 Review and Analysis Posted by Elaine Harwood, Frank Mascari, and Laura Simmons, Cornerstone Research,… [read post]