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29 Nov 2023, 9:01 pm by renholding
There were two types of actions with significant year-over-year increases: securities offering matters (55% increase) and broker-dealer matters (30% increase). [read post]
24 Jan 2019, 4:46 am by Andrew Lavoott Bluestone
It is “clear, final and the product of mutual accord” Forcellia, 109 AD 3d at 24 7. [read post]
19 Mar 2021, 6:08 am
Securities and Exchange Commission, on Thursday, March 18, 2021 Tags: Asset management, Institutional Investors, Mutual funds, Proxy advisors, Proxy voting, SEC, Securities regulation, Shareholder voting, Transparency [read post]
30 Apr 2024, 6:08 am by Adam Klasfeld
Doing a favor for Schwartzenegger helped the company secure his cooperation with other AMI magazines like Us, Muscle Fitness, and Flex. [read post]
10 Jun 2021, 8:42 am by Rohini Kurup
The Polish government requested information from the United States under the mutual legal assistance treaty between the two countries, but the U.S. denied the request, citing national security concerns. [read post]
24 Nov 2017, 6:01 am
White (Arizona State University), on Monday, November 20, 2017 Tags: Insider trading, Mutual funds, Profitability, Retail investors, SEC, SEC investigations, Securities enforcement, Securities regulation, Stock returns, Transparency, Whistleblowers Second Circuit Analysis of Fraud-on-the-Market Doctrine Posted by Brad S. [read post]
6 Apr 2018, 6:08 am
Fontaine, Corporate Risk Holdings LLC, and John Reed Stark, John Reed Stark Consulting LLC, on Saturday, March 31, 2018 Tags: Boards of Directors, Cybersecurity, Disclosure, Financial reporting, Risk, Risk management, Risk oversight, SEC, SEC enforcement, Securities enforcement, Securities regulation Do Director Networks Improve Managerial Learning from Stock Prices? [read post]
5 Jun 2014, 3:57 pm by David Ma
This article originally appeared in the June 6, 2014, issue of The Lawyers Weekly, published by LexisNexis Canada Inc. [read post]
31 Oct 2011, 5:04 am by emp
Federal Trade Commission (see Accusearch Inc.) law enforcement authorities in our two countries cooperate as well. [read post]
10 Nov 2017, 6:22 am
Securities and Exchange Commission, on Thursday, November 9, 2017 Tags: Bitcoin, Disclosure, Engagement, Information environment, Investment advisers, Investor protection, Misconduct, Retail investors, SEC, Securities fraud, Securities regulation, Shareholder proposals, Transparency [read post]
2 Feb 2018, 6:10 am
McIntosh, Wachtell, Lipton, Rosen & Katz, on Friday, January 26, 2018 Tags: Board composition, Boards of Directors, Corporate culture, Diversity, Misconduct, Oversight, Risk assessment, Risk management Informed Trading and Cybersecurity Breaches Posted by Joshua Mitts and Eric Talley (Columbia Law School), on Friday, January 26, 2018 Tags: Cybersecurity, Disclosure, Information asymmetries, Information… [read post]
12 Oct 2007, 9:14 am
Asbestos Workers Local 84 (DST Insulation, Inc [read post]
30 Mar 2023, 6:52 am by The White Law Group
Cambridge Investment Research allegedly invested client assets in certain mutual funds and money market sweep funds that generated millions of dollars in revenue sharing payments to an affiliated broker-dealer, Cambridge Investment Research, Inc., instead of lower-cost share classes and investment options that would have yielded less or no revenue sharing. [read post]
6 Oct 2017, 6:09 am
Posted by Ron Kaniel, University of Rochester Simon Business School, on Monday, October 2, 2017 Tags: Accounting, Agency costs, Asset management, Bonuses, Fund performance, Incentives, Institutional Investors, International governance, Management, Mutual funds, Pay for performance, Sweden Delaware’s Loss of Top Spot for Lawsuit Climate Posted by Ning Chiu, Davis Polk & Wardwell LLP, on Monday, October 2,… [read post]