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16 Nov 2023, 10:12 am
Specifically, Ramirez formed entities using the names “Certain Underwriters at Lloyds London, Inc. [read post]
15 Nov 2023, 2:07 pm
Similk Inc. [read post]
15 Nov 2023, 6:26 am
In addition, FinTech investment adviser Titan Global Capital Management USA LLC agreed to pay more than $1 million combined in a civil penalty, disgorgement, and prejudgment interest to settle charges that it violated the marketing rule. [read post]
15 Nov 2023, 5:10 am
KLDiscovery Inc. [read post]
14 Nov 2023, 9:01 pm
In addition, FinTech investment adviser Titan Global Capital Management USA LLC agreed to pay more than $1 million combined in a civil penalty, disgorgement, and prejudgment interest to settle charges that it violated the marketing rule. [read post]
14 Nov 2023, 6:31 am
Posted by Subodh Mishra, Institutional Shareholder Services, on Tuesday, November 14, 2023 Editor's Note: Subodh Mishra is Global Head of Communications at Institutional Shareholder Services (ISS) Inc. [read post]
14 Nov 2023, 6:31 am
Posted by Subodh Mishra, Institutional Shareholder Services, on Tuesday, November 14, 2023 Editor's Note: Subodh Mishra is Global Head of Communications at Institutional Shareholder Services (ISS) Inc. [read post]
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]
12 Nov 2023, 9:01 pm
For more insights on this topic, see our November 3, 2023, client alert “Private Equity CISO Fireside Chat — Cybersecurity Leadership in the Age of Generative AI. [read post]
9 Nov 2023, 9:01 pm
For example, foreign investment advisers have faced numerous hurdles in registering with the SEC, the pending move to T+1 settlement in the equity markets raises potential mismatches with foreign jurisdictions that will need to be resolved, and some of the SEC’s shortened filing deadlines may present challenges for those in foreign time zones. [read post]
5 Nov 2023, 3:10 pm
OCR’s investigation determined that, in addition to that impermissible disclosure, DADS violated the HIPAA Security Rule by failing to conduct an enterprise-wide risk analysis and implement access and audit controls on Community Living Assistance and Support Services and Deaf Blind with Multiple Disabilities (“CLASS/DBMD”) program information systems and applications intended to collect and report information about “Utilization Management and Review” activities… [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]
29 Oct 2023, 6:15 pm
Later, the parties, including the plaintiff, Ng (to whom Choi transferred his interest because he was in Asia on other business), reorganized the partnership as two corporations, Kyoto Restaurant, Inc. and Kyoto Dining Group, Inc. [read post]
23 Oct 2023, 4:44 am
After all, an operating agreement covers the whole gamut of ownership and management rights and responsibilities, not just maintaining a bank account. [read post]
18 Oct 2023, 9:01 pm
Securities and Exchange Commission (SEC) announced a US$19 million settlement with the investment adviser DWS Investment Management Americas Inc. [read post]
17 Oct 2023, 11:38 am
Giving a qualifying applicant for a work opportunity in your business might translate into Work Opportunity Tax Credit (WOTC) for your business if your business meets and follows the requirements. [read post]
9 Oct 2023, 2:34 pm
Where the contested dividend recap was driven by private equity investors (as is typically the case), the resulting lawsuit will often name the portfolio company’s private equity investors, including the management entity and any implicated funds. [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]
6 Oct 2023, 6:30 am
Evidence from Barcode-Level Sales Data Posted by Jean-Marie Meier (University of Pennsylvania), on Thursday, October 5, 2023 Tags: How to Navigate Equity Plan Proposals Posted by Austin Vanbastelaer, and Kyle McCarthy, Semler Brossy LLC, on Thursday, October 5, 2023 Tags: Equity Plan, ISS, Proxy advisors, S&P 500 [read post]
