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26 Jun 2022, 1:01 pm
The Securities and Exchange Commission charged BNY Mellon Investment Adviser, Inc. with misstatements and omissions about ESG considerations for certain mutual funds that it managed. [read post]
23 Jun 2022, 9:01 pm
I also have concerns that the volume of comment requests will give even greater weight to the views of bigger players and mute the voices of retail investors, smaller advisers, broker-dealers, mutual funds, and companies, which lack the resources necessary to give each of these proposals the attention they deserve. [read post]
20 Jun 2022, 9:05 pm
Mutual funds are 7 percent less likely to vote for directors of dual class firms, and this relation is not mitigated by firms’ level of information asymmetry. [read post]
6 Jun 2022, 6:32 am
According to Barron’s, $400 billion was invested in U.S. mutual funds and assets that have an ESG orientation in 2021. [1] However, it remains a challenge for issuers, asset managers, regulators and other industry participants to determine whether a particular business, industry, or product promotes or is harmful to ESG considerations. [read post]
6 Jun 2022, 6:32 am
According to Barron’s, $400 billion was invested in U.S. mutual funds and assets that have an ESG orientation in 2021. [1] However, it remains a challenge for issuers, asset managers, regulators and other industry participants to determine whether a particular business, industry, or product promotes or is harmful to ESG considerations. [read post]
5 Jun 2022, 9:05 pm
” In addition, the Restatement will aim to capture the evolution of corporate law prompted by institutional investors’ increasing share of stock ownership, the rise of activist hedge funds, and the recent emphasis on environmental, social, and governance (ESG) issues. [read post]
2 Jun 2022, 7:30 pm
On September 7, 2021, GWG announced it has appealed the delisting of its stock by the Listing Qualifications Department of the Nasdaq Stock Market. [read post]
1 Jun 2022, 7:16 pm
One of the most interesting aspects of the trajectories of the management, including management in markets and through a bureaucratic administrative apparatus (public or private or hybrid) is the quite consistent entangled of a small group of actors who, having been placed at the top of pyramids of status or influence (in part because of status) or otherwise linked by connections and mutually self reinforcing ideological alignments, have tended to driven the regulatory project on and… [read post]
30 May 2022, 9:00 am
Pix Credit here "China’s Guiding Cases (指导性案例) refer to cases selected by the Supreme People’s Court (SPC) from the effective judgments of courts nationwide through specific procedures, and should be referred to by courts at all levels when hearing similar cases. [read post]
26 May 2022, 9:01 pm
”[7] The broad sweep of this requirement will affect even advisers who do not consider themselves ESG advisers. [read post]
24 May 2022, 5:00 am
For certain mutual funds that the sub-adviser sub-advised, called the “Sustainable Funds,” the sub-adviser required the Responsible Investment Team’s proprietary ESG quality review for all investments. [read post]
23 May 2022, 6:12 am
The SEC charged the adviser with violations of Investment Advisers Act Sections 206(2) and 206(4) and Rule 206(4)-7. [read post]
22 May 2022, 6:30 am
”[7] In this way, Professor Levinson invites us to ask whether monuments can work as cultural icons for more than some of us. [read post]
19 May 2022, 9:42 am
" "[A]nonymous litigation runs contrary to the rights of the public to have open judicial proceedings and to know who is using court facilities and procedures funded by public taxes. [read post]
11 May 2022, 9:01 pm
Hedge funds and other asset managers increasingly have been using total return swaps to express a position that then may be held on the balance sheet of their prime broker or bank. [read post]
8 May 2022, 9:01 pm
In rulemaking, Congress said, the Commission must consider efficiency, competition, and capital formation, in addition to investor protection and the public interest.[7] In my view, the principles underlying the wise restraints from the 1930s, ‘70s, and ‘90s promote efficiencies where economic rents, or excess profits above market competition, might otherwise accrue. [read post]
8 May 2022, 2:26 pm
The Court also considered that these sanctions did not impair the essence of his freedom of expression, as they were restricted to prevent his entry into, or transit through the EU and froze all of his funds and economic resources in the EU. [read post]
5 May 2022, 9:01 pm
Rev 745 (2020). [6] See Ellias & Stark, supra note 5 at 747. [7] Kenneth Ayotte & Christina Scully, J. [read post]
26 Apr 2022, 9:01 pm
Finally, a greater share of bond ownership has shifted to registered investment companies, like mutual funds, money market funds, exchange-traded funds, and closed-end funds.[9] This shift raises challenges for financial resiliency. [read post]
22 Apr 2022, 3:45 am
DeSantis, a potential Republican presidential candidate in 2024, wrote in a fund-raising email to supporters on Wednesday. [read post]
