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23 Oct 2019, 3:01 am by Broc Romanek
Workshop” over on isn’t free for members of that site – but ours is much cheaper (and includes copies of the “Deal Tales” Paperbacks – a three volume set)… California Dreaming… Saw this picture that Jim McRitchie posted of a California license plate: – Broc Romanek [read post]
22 Oct 2019, 3:15 am by Broc Romanek
See this Mayer Brown memo – and this background paper from the SEC… – Broc Romanek [read post]
4 Oct 2019, 3:19 am by Broc Romanek
– Proxy Voting: Impact of Mutual Fund Board Connections – Uncontested Director Elections: Impact of Negative ISS Recommendations – Proxy Plumbing: Recommendations From SEC’s “Investor” Subcommittee – Shareholder Engagement: A UK Study of Investor Trends – Broc Romanek [read post]
2 Oct 2019, 3:16 am by Broc Romanek
Investigations: Key Questions When You Get An Investigative Request – Broc Romanek [read post]
30 Sep 2019, 2:11 am by Broc Romanek
Recently, Moody’s issued a framework to help understand key aspects of governance that are incorporated into all Moody’s credit ratings and analysis, including two taxonomies: a private taxonomy, which applies to non-financial corporates, financial institutions, infrastructure, structured finance and certain competitive government-owned enterprises; and a public taxonomy, which applies to sovereign, sub-sovereign and municipal issuers… – Broc Romanek [read post]
10 Sep 2019, 3:38 am by Broc Romanek
SEC Sanctions for 10-K Misrepresentation on Loan Covenant Compliance In this blog, Stinson’s Steve Quinlivan describes the facts behind the SEC’s recent enforcement action against a company – Omega Protein – for its 10-K disclosure that it “was in compliance with all of the covenants contained” in its borrowings (repeated in three subsequent 10-Qs)… – Broc Romanek [read post]
21 Aug 2019, 3:04 am by Broc Romanek
Here’s an article from the “Sacramento Bee” – and see this Cooley blog… – Broc Romanek [read post]