Search for: "Securities Investor Protection Corporation"
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1 Oct 2020, 11:52 am
And the only way for American businesses and investors to protect themselves is to develop a broad understanding of that weapon. [read post]
30 Sep 2020, 10:55 am
To further protect the issuer from claims of fraudulent sales, an issuer may also give prospective investors access to key corporate documents and source material to back up the information in the PPM. [read post]
30 Sep 2020, 6:27 am
These 100 whistleblowers have forever changed Wall Street by demonstrating the efficacy of the SEC Whistleblower Program and proving the crucial role whistleblowers can play in fighting corporate fraud. [read post]
29 Sep 2020, 6:43 am
” The article details how the brave actions of these 100 individuals have proven both the efficacy of the SEC Whistleblower Program and the importance of whistleblowers in protecting investors and fighting corporate fraud. [read post]
28 Sep 2020, 3:26 pm
As noted in a June 9, 2020 Harvard Law School Forum on Corporate Governance article about the SEC’s prior COVID-19 enforcement actions (here), “since the onset of the COVID-19 pandemic, the SEC has aggressively messaged its intent to remain vigilant and protect investors from fraud in the current environment. [read post]
28 Sep 2020, 5:51 am
For most of their history, U.S. public corporations were widely understood to be profit-driven enterprises governed by a rule-based corporate law regime designed to protect and advance the financial interests of shareholders. [read post]
28 Sep 2020, 3:00 am
Racial and ethnic diversity: When asked should all corporate boards provide disclosure of the demographics of their board members including directors’ self-identified race and/or ethnicity, 73% of investors indicated all boards should disclose this information to the full extent permitted under relevant laws. [read post]
25 Sep 2020, 8:55 pm
Besides, the Commission will propose to strengthen the investment protection and facilitation framework in the EU. [read post]
25 Sep 2020, 7:19 am
In her speech at the CII conference, Lee said that the SEC has recognized both that disclosure can influence corporate conduct and that impact is consistent with the philosophy of the disclosure provisions of the securities laws. [read post]
25 Sep 2020, 6:32 am
This post is based on his letter to the House Subcommittee on Investor Protection, Entrepreneurship, and Capital Markets Chairman Brad Sherman. [read post]
25 Sep 2020, 6:31 am
Scott (Harvard Law School) and John Gulliver (Program on International Financial Systems), on Monday, September 21, 2020 Tags: Capital markets, DOL, ERISA, Fund performance, Investor protection, Private equity, Retail investors, Retirement plans, SEC, Securities regulation ESG Disclosures: Frameworks and Standards Developed by Intergovernmental and Non-Governmental Organizations Posted by Mark S. [read post]
24 Sep 2020, 8:33 am
A similar claim was leveled by the Council of Institutional Investors and other investor advocacy groups this summer following a Roisman speech in which he said shareholders should use private ordering for environmental and social issues, not shareholder proposalsCrenshaw agreed, noting that many corporate governance advancements, and annual and majority votes for director elections have come from investor-led proposals.She is concerned that the amendments mean… [read post]
24 Sep 2020, 8:31 am
Moreover, all of the Commissioners clearly recognized that whistleblowers are “extremely successful” in alerting the Commission to fraud and protecting investors from illegal Wall Street crimes. [read post]
22 Sep 2020, 12:35 pm
However, proposed changes to the SEC Whistleblower Program threaten to undermine the efficacy of the program, which so far has been unquestionably successful in rewarding and protecting corporate whistleblowers. [read post]
22 Sep 2020, 12:35 pm
However, proposed changes to the SEC Whistleblower Program threaten to undermine the efficacy of the program, which so far has been unquestionably successful in rewarding and protecting corporate whistleblowers. [read post]
22 Sep 2020, 9:13 am
Securities and Exchange Commission (SEC) Whistleblower Program, the Co-Director of the SEC’s Division of Enforcement lauded the success of the program and its importance in fighting corporate fraud. [read post]
22 Sep 2020, 7:24 am
"Justice Ginsburg's powerful intellect and determination shaped decisions that had meaningful impacts for all Americans, including our nation's investors. [read post]
21 Sep 2020, 11:49 am
The committee will hear testimony from Christine Wormuth, the director of the Rand Corporation's International Security and Defense Policy Center; Ret. [read post]
18 Sep 2020, 8:43 am
Corporate income tax revenues plummeted, with states only bringing in half as much corporate tax revenue in the fourth quarter of FY 2020 as they did the same quarter in FY 2019, since corporate income taxes are imposed on net revenue and many companies found themselves in the red early in the pandemic. [read post]
18 Sep 2020, 6:13 am
Engoron, Olshan Frome Wolosky LLP, on Thursday, September 17, 2020 Tags: Board composition, Boards of Directors, California, Diversity, ESG, State law Funding the Future: Investing in Long-Horizon Innovation Posted by Sarah Williamson, Ariel Babcock, and Allen He, FCLTGlobal, on Thursday, September 17, 2020 Tags: Capital requirements, Incentives, Innovation, Long-Term value, R&D, Risk-taking, Shareholder value The… [read post]
