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15 Jun 2011, 1:25 am
Actually, I’m flattering myself because those are the words found in Georgetown Law Professor Adam Levitin’s written testimony in provided to House Financial Services Committee, Subcommittee on Housing and Community Opportunity on November 18, 2010. [read post]
14 Jul 2011, 9:09 pm
Due diligence meetings increasingly focus on what asset managers, banks and other service providers are doing to manage their risks. [read post]
12 Mar 2014, 8:57 am
Norges Bank ensures that no investment is made in government bonds, while the Council on Ethics is required to identify companies that may be selling weapons to the states in question. [read post]
15 Jan 2009, 6:46 am
We need to go full-force against anyone who violates investor trust, regardless of their standing in the investment community. [read post]
14 Aug 2020, 8:48 am
While some accused fraudsters have challenged the authority of regulators like the SEC to pursue violations of the Bank Secrecy Act (largely unsuccessfully, so far), wrongdoers in the broker-dealer community would do well to assume the SEC or CFTC may soon come calling. [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]
1 Nov 2017, 8:59 am
Special Counsel Robert Mueller will interview Hope Hicks, White House communications director, according to Politico. [read post]
21 Nov 2022, 12:30 pm
Struggles and debates included those between farmers, merchants, investors, and the state, each with their own demands, needs, and interests. [read post]
21 May 2010, 4:38 am
See Senate Banking Committee Report, Apr 30, 2010.The legislation also authorizes the PCAOB to share confidential inspection and investigative information with foreign audit oversight authorities under specified circumstances. [read post]
7 Feb 2012, 5:09 am
Prior to any offer of securities, the issuer shall provide the following materials to the intermediary, and these materials shall be made available to each offeree through the intermediary’s website: (A) The information required in Parts 2 and 3 of Form CF; and (B) Information describing the financial condition of the issuer, including, at a minimum, unaudited financial statements prepared in accordance with generally accepted accounting principles in the United States. (6) Restrictions… [read post]
22 Jun 2009, 11:40 am
Rather, the Treasury has directed the reopened CPP toward traditional community banks. [read post]
7 Oct 2008, 8:49 pm
Fannie and Freddie were heavily regulated, with probably dozens of Congressional committees and alledged involved investors providing oversight for their actions. [read post]
20 Jan 2012, 3:25 am
Standard Bank has the inside track on what investors, and the Chinese in particular, are up to in Africa. [read post]
20 Jan 2010, 7:51 am
Banks were small and distributed throughout communities only when money was tangible (meaning it had to be stored in vaults) and lending was local (because credit information and capital could not flow vast distances). [read post]
16 Mar 2020, 2:03 am
The proxy statement also said the company would make a replay available on its Investor Relations website and Intel’s Investor Relations website also includes answers to investors’ questions from the 2019 meeting. [read post]
12 May 2017, 2:08 pm
The word “choice” is in solid caps because it stands for “Creating Hope and Opportunity for Investors, Consumers and Entrepreneurs”. [read post]
26 Mar 2013, 12:00 am
This set up also allows investors to visit with and learn about several start-ups at one time. [read post]
18 Dec 2018, 2:30 pm
Intelligence Community model to determine what your employees need to know regarding your company’s internal operations, trade secrets, negotiation strategies and protocols. [read post]
10 Mar 2009, 3:44 pm
" Lang hopes to make the L3C a viable investment product that allows the benefits of tiered investment with foundations holding the greatest financial risk in the top tier, banks, wealthy community-minded individuals, or institutions in the middle, and a AAA investment that could be sold to pension or endowment funds at the bottom. [read post]
21 Mar 2012, 1:22 am
A March 2012 memorandum from the Jones Day law firm entitled “FDIC Failed Bank Director and Officer Claims – Recent Court Decisions Better Define the Landscape” (here) takes a look at the Integrity Bank decision as well as recent developments in the FDIC’s failed bank lawsuit in the Northern District of Illinois involving Heritage Community Bank (for background involving the Heritage Community Bank case,… [read post]
