Search for: "Security Services v. Equity Management"
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13 Apr 2022, 9:01 pm
Exams will focus on, among other things, (i) private funds, (ii) broker-dealers, (iii) Environmental, Social, and Governance (ESG) or impact investing, (iv) financial technology (FinTech) and crypto-assets, and (v) information security (InfoSec) and operational resiliency. [read post]
27 Mar 2022, 10:52 am
The basis on which equity grants relief from the strict enforcement of a forfeiture is that it regards the forfeiture as only a security for the performance of an underlying obligation: see Shiloh Spinners Ltd v Harding (1973) AC 691, 723-724 per Lord Wilberforce, recently affirmed by this court in Vauxhall Motors Ltd (formerly General Motors UK Ltd) v Manchester Ship Canal Co Ltd (2019) UKSC 46; (2020) AC 1161, para 17. [read post]
25 Mar 2022, 5:48 am
Liu, Dechert LLP, on Friday, March 18, 2022 Tags: Class actions, Compliance and disclosure interpretation, Cryptocurrency, Foreign issuers, International governance, Securities fraud, Securities litigation Special Committee Report Posted by Gregory V. [read post]
24 Mar 2022, 2:30 pm
The results of benchmarking and/or data analytics are routinely provided by insurance brokers to risk managers several months prior to the renewal date for the D&O programme. [read post]
18 Mar 2022, 9:04 am
Texas Indus., Inc. v. [read post]
9 Mar 2022, 9:03 am
Advances in digital and distributed ledger technology for financial services have led to dramatic growth in markets for digital assets, with profound implications for the protection of consumers, investors, and businesses, including data privacy and security; financial stability and systemic risk; crime; national security; the ability to exercise human rights; financial inclusion and equity; and energy demand and climate change. [read post]
6 Mar 2022, 3:15 pm
See also Reis v. [read post]
16 Feb 2022, 12:32 pm
Supreme Court case, Shearson/American Express v. [read post]
1 Feb 2022, 1:01 pm
Supreme Court issued its much-anticipated decision in the Hughes v. [read post]
27 Jan 2022, 9:03 pm
Securities and Exchange Commission (SEC) announced new proposed measures to change the reporting requirements for private equity firms and hedge funds. [read post]
19 Jan 2022, 10:09 am
(v) Within 90 days of the date of this memorandum, the National Manager shall, in coordination with the Director of National Intelligence, the Director of the Central Intelligence Agency, the Director of the Federal Bureau of Investigation, and the heads of appropriate elements of the Department of Defense, develop a framework to coordinate and collaborate on cybersecurity and incident response activities related… [read post]
19 Jan 2022, 10:09 am
(v) Within 90 days of the date of this memorandum, the National Manager shall, in coordination with the Director of National Intelligence, the Director of the Central Intelligence Agency, the Director of the Federal Bureau of Investigation, and the heads of appropriate elements of the Department of Defense, develop a framework to coordinate and collaborate on cybersecurity and incident response activities related… [read post]
14 Jan 2022, 5:57 am
Lund (University of Southern California), on Tuesday, January 11, 2022 Tags: Citizens United v. [read post]
10 Jan 2022, 4:01 pm
The biannual Federal Reserve Financial Stability Report has highlighted the role of social media and retail investors in equity market volatility. [read post]
29 Dec 2021, 12:00 pm
In Milieudefensie et al. v. [read post]
24 Dec 2021, 6:26 am
., on Friday, December 17, 2021 Tags: Asset management, Board oversight, Boards of Directors, ESG, Institutional Investors, Risk management, Shareholder activism, Shareholder proposals, Shareholder voting Statement by Commissioner Peirce on Rule 10b5-1 and Insider Trading Posted by Hester M. [read post]
14 Dec 2021, 4:00 am
It is well settled that courts have the authority to manage and control their proceedings and that this authority is necessary to ensure the proper administration of justice and the integrity of the legal system. [read post]
8 Dec 2021, 11:27 am
On an annual basis, Securities and Exchange Commission (“SEC”) registered investment advisers (“SEC RIAs”) are required to provide natural person clients with a copy of the firm’s privacy policy if: (i) the SEC RIA has disclosed nonpublic personal information other than in connection with servicing consumer accounts or administering financial products; or (ii) the firm’s privacy policy has changed. [read post]
8 Dec 2021, 7:27 am
On an annual basis, Securities and Exchange Commission (“SEC”) registered investment advisers (“SEC RIAs”) are required to provide natural person clients with a copy of the firm’s privacy policy if: (i) the SEC RIA has disclosed nonpublic personal information other than in connection with servicing consumer accounts or administering financial products; or (ii) the firm’s privacy policy has changed. [read post]
3 Dec 2021, 6:06 am
Apps, Adam Fee, and Matthew Laroche, Milbank, on Thursday, December 2, 2021 Tags: Bitcoin, Cryptocurrency, Cybersecurity, DOJ, OFAC, Ransomware, Risk, Risk management, Securities enforcement SPAC Mergers, IPOs, and the PSLRA’s Safe Harbor: Unpacking Claims of Regulatory Arbitrage Posted by Amanda Rose (Vanderbilt), on Thursday, December 2, 2021 Tags: Disclosure, Forecasting, Investor… [read post]
