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2 Oct 2017, 4:50 pm by Kevin LaCroix
The SEC’s disclosure that its EDGAR system had been had hacked was big news last week, as was the accompanying disclosure that the information accessed may have been used for improper trading. [read post]
29 Sep 2017, 6:34 am
Securities and Exchange Commission, on Tuesday, September 26, 2017 Tags: Broker-dealers, Capital formation, Compensation ratios, Cybersecurity, Disclosure, EDGAR, Financial technology, Investment advisers, Oversight, SEC, SEC enforcement, Securities enforcement, Securities regulation CEOs and ISS’ Proxy Contest Framework Posted by Institutional Shareholder Services, Inc., on Wednesday, September 27, 2017 … [read post]
28 Sep 2017, 1:58 pm by Michael Bookman
On the heels of the Agrium proxy fight, private equity firm PointNorth Capital set its sights on the largest publicly traded specialty alcohol retailer, Alberta-based Liquor Store N.A. [read post]
26 Sep 2017, 6:41 am by Dan Carvajal
Key Findings The Ohio Commercial Activity Tax, a 0.26 percent tax on business gross receipts above $1 million, is a throwback to an earlier era of taxation, bringing back a tax type that had been in steady retreat for nearly a century. [read post]
20 Sep 2017, 1:43 am by Joseph Leahy
 However, also unlike a lender, an equity owner shares in any profit that occurs if revenues exceed expenses. [read post]
19 Sep 2017, 3:55 pm by Kevin LaCroix
In this regard, 401(k) equity mutual fund fees have dropped by 38% since 2000 and bond mutual funds fees by 43% in the same time period. [read post]
15 Sep 2017, 7:58 pm by Chris Manes
 In the Matter of the Appeal of William-Sonoma, Inc., and Subsidiaries (June, 26, 2012). [read post]
15 Sep 2017, 11:51 am by Mark Astarita
 When the division was reorganized in 2010, he joined the newly formed Asset Management Unit.During his tenure with the Enforcement Division, Mr. [read post]
13 Sep 2017, 8:09 am by John Jascob
Potomac Asset Management Company, Inc. provides investment advisory and management services to two private equity fund clients under limited partnership agreements and private placement memoranda The LPAs provided terms for calculation and payment of capital contributions and the payment of management fees paid to Potomac. [read post]
8 Sep 2017, 6:00 am
Bachelder, McCarter & English LLP, on Monday, September 4, 2017 Tags: Boards of Directors, Equity-based compensation, Executive Compensation, Executive performance, Executive value, Firm performance, ManagementManagement contracts, Shareholder activism, Shareholder value The Evolution and Current State of Director Compensation Plans Posted by John Ellerman, Peter England, and Blaine Martin, Pay Governance… [read post]
25 Aug 2017, 6:04 am
Fee, Cadwalader, Wickersham & Taft LLP, on Thursday, August 24, 2017 Tags: Business judgment rule, Class actions, Conflicts of interest, Controlling shareholders, Delaware cases, Delaware law, Fairness review, Merger litigation, Mergers & acquisitions, Minority shareholders Board Oversight of Long-Term Value Creation and Preservation Posted by Tim Leech, Risk Oversight Solutions Inc., on Thursday, August 24, 2017 … [read post]
18 Aug 2017, 6:16 am
Louis, on Tuesday, August 15, 2017 Tags: Asset management, Banks, Broker-dealers, Dodd-Frank Act, Financial crisis, Financial institutions, Financial regulation, Hedge funds, Investment banking, Private equity, Shadow banking, SIFIs, Systemic risk Declassified Boards Are More Likely to Be Diverse Posted by Grant Bremer, Equilar Inc., on Tuesday, August 15, 2017 … [read post]
14 Aug 2017, 3:21 am by Peter Mahler
According to Vladimir’s trial testimony, he gave the shares to Leo so that Leo would have management control and could therefore “protect” Vladimir’s two children as trustee over their shares. [read post]
14 Aug 2017, 3:21 am by Peter Mahler
According to Vladimir’s trial testimony, he gave the shares to Leo so that Leo would have management control and could therefore “protect” Vladimir’s two children as trustee over their shares. [read post]