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13 Nov 2023, 9:05 pm
Assessing Potential Risks The Analytic Framework retains the eight proposed “vulnerabilities that most commonly contribute” to financial stability risks.[24]Relative to the proposal, the Analytic Framework includes additional examples of the types of “quantitative metrics” the Council may consider under certain vulnerabilities: Vulnerability Sample Metrics – Proposal Additional Metrics – Final Leverage… [read post]
9 Nov 2023, 9:01 pm
In addition, the person must become a member of SIPC, adhere to a comprehensive regulatory regime, including the net capital rule[5] and Consolidated Audit Trail reporting, and be subject to examination by the SEC and FINRA. [read post]
6 Nov 2023, 4:16 am
” Since a freeze-out merger does not treat all shareholders equally, it is permissible only where necessitated by the “overriding duty to provide good and prudent management” of the Corporation as a whole. [read post]
3 Nov 2023, 6:30 am
Posted by Alyssa Stankiewicz and Lindsey Stewart, Morningstar, Inc, on Monday, October 30, 2023 Tags: anti-ESG, ESG, ETFs, Shareholders Machine-Learning the Skill of Mutual Fund Managers Posted by Ron Kaniel (University of Rochester Simon Business School), on Tuesday, October 31, 2023 Tags: CFNAI, Mutual funds, stock market, US Equity Funds The Compensation Committee’s Evolving Role in Human Capital Management Posted by Blair Jones, Rachel Ki, and… [read post]
3 Nov 2023, 6:30 am
Posted by Alyssa Stankiewicz and Lindsey Stewart, Morningstar, Inc, on Monday, October 30, 2023 Tags: anti-ESG, ESG, ETFs, Shareholders Machine-Learning the Skill of Mutual Fund Managers Posted by Ron Kaniel (University of Rochester Simon Business School), on Tuesday, October 31, 2023 Tags: CFNAI, Mutual funds, stock market, US Equity Funds The Compensation Committee’s Evolving Role in Human Capital Management Posted by Blair Jones, Rachel Ki, and… [read post]
2 Nov 2023, 6:55 am
(CRD# 8174) of Weehawken, NJ, and Ladenburg Capital Management Inc. [read post]
26 Oct 2023, 8:53 am
Morgan Securities LLC Albert Foronda Spartan Capital Securities, LLC Worden Capital Management LLC Jorge Baquero Spartan Capital Securities, LLC Eduardo Martinez National Securities Corporation PHX Financial, Inc. [read post]
25 Oct 2023, 12:49 pm
Joseph Desapio Spartan Capital Securities, LLC Worden Capital Management LLC DeVere Dudley Raymond James Financial Services, Inc. [read post]
25 Oct 2023, 6:00 am
Brookfield Asset Management Inc., C.A. [read post]
24 Oct 2023, 9:01 pm
It undermines the investor confidence needed for the fair, efficient, and orderly operation of our markets and for capital formation. [read post]
20 Oct 2023, 2:40 pm
We encourage managers to review their marketing materials to ensure compliance if they have not done so already. [read post]
18 Oct 2023, 3:02 pm
KLDiscovery To Expand Managed Review Capabilities with Cenza Technologies Acquisition KLDiscovery Inc. [read post]
13 Oct 2023, 12:44 pm
AMG Capital Management struck down the Federal Trade Commission’s authority to obtain equitable monetary relief under Section 13(b). [read post]
9 Oct 2023, 9:05 pm
Davis Inc. [read post]
9 Oct 2023, 2:34 pm
This article is co-authored by Sarah Abrams, Head of Professional Liability Claims, Bowhead Specialty Underwriters, Inc., Elan Kandel, Member, Bailey Cavalieri LLC and James Talbert, Associate, Bailey Cavalieri LLC. [read post]
9 Oct 2023, 4:22 am
The parties documented the transaction in a Subscription Agreement signed by Kwak as “Manager” of NC KKA, as “Managing Member” of Sweetcatch KKA. [read post]
5 Oct 2023, 2:38 pm
People for the Ethical Treatment of Animals, Inc. and North Carolina Farm Bureau Federation v. [read post]
5 Oct 2023, 7:26 am
The attorney has not heard back from the owner, so they assume that they were the intended victim of a scam. 1 Groat Machinery, Inc. 39555 Orchard Hill Place Novi, MI 48375 ATTN: Mr. [read post]
3 Oct 2023, 9:01 pm
SEC press release │SEC complaint | SEC order Investment adviser agrees to settle disclosure claims for SPAC-related activity In the Matter of Monroe Capital Management Advisors (A.P. [read post]
2 Oct 2023, 9:50 am
This could include through a “voting interest” or other governance rights, such as “the right to appoint [board] members, influence capital budgets, determine investment return thresholds, or select particular managers[.] [read post]
