Search for: "Equity Trust Company Custodian"
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6 Dec 2010, 8:51 am
The proposed rules would require expanded disclosure of any non-advisory activities that the adviser is actively engaged in, including business as a trust company, registered municipal advisor, registered security-based swap dealer, major security-based swap participant, accountant or lawyer. [read post]
20 Mar 2010, 7:31 am
(2A) Without prejudice to the provisions contained in sub-section (2), the Board may take measures to undertake inspection of any book, or register, or other document or record of any listed public company or a public company (not being intermediaries referred to ins section (12), which intends to get it securities listed on any recognized stock exchange where the Board has reasonable grounds to believe that such company has been indulging in insider trading or… [read post]
9 Jul 2018, 7:01 am
Statutory or Common Law Deadlock Delaware law, which offers a somewhat different model, provides for the appointment or a custodian or receiver, but does not expressly authorize a court to order dissolution of the company. [read post]
22 Oct 2019, 11:06 am
Many would disagree strongly with the attorney general’s assessment that an acceptable technical solution to law enforcement’s problem—one that appropriately balances all of the equities at issue—actually exists. [read post]
16 Feb 2010, 3:29 pm
Another example of a typical securitization vehicle is a grantor trust that invests in U.S. debt or equity investments and in turn issues pass-through certificates that represent the cash flows on those investments. [read post]
11 Jun 2023, 9:26 am
As of now, the legislation describes a beneficial owner as “a natural person who, directly or indirectly, through any contract, arrangement, understanding, relationship, or otherwise— (i) exercises substantial control over a corporation or limited liability company; (ii) owns 25 percent or more of the equity interests of a corporation or limited liability company; or (iii) receives substantial economic benefits from the assets of a corporation or limited… [read post]
18 Aug 2009, 2:16 am
The fund must be in the form of one of three vehicles: i) a Cayman Islands Exempted Company (most common); ii) a Unit Trust; or iii) an Exempted Limited Partnership. [read post]
4 Mar 2010, 6:09 am
But Theodore Roosevelt consistently battled the “trusts,” and in his 1912 campaign (running now under the banner of the Progressive Party, rather than as a Republican), Roosevelt recommended strong federal regulation to offset corporate power. [read post]
26 Oct 2017, 4:00 am
Investigators, particularly in white collar investigations, frequently use subpoenae rather than search warrants, working through lawyers and firms and trusting that those on whom they serve process will comply. [read post]
5 Jan 2009, 6:39 am
The promissory note provides, in part, that Church B promises to pay Amount D to the order of Company P, IRA Custodian f/b/o Taxpayer A, with interest at the rate of five percent per annum until paid. [read post]
13 Dec 2010, 6:00 am
., a bankrupt health care transaction software company based here, pleaded guilty on Friday to defrauding investors and clients of more than $93 million. [read post]
12 Mar 2009, 9:09 am
Eligible Borrowers Any U.S. company that maintains a relationship with a primary dealer may become a borrower under the TALF. [read post]
7 Feb 2012, 5:09 am
This exemption shall not be available to any of the following: (A) A foreign issuer; (B) An investment company, as defined in Section 3 of the Investment Company Act of 1940; (C) A development stage company that either has no specific business plan or purpose or has indicated that its business plan is to engage in a merger or acquisition with an unidentified company or companies, or other entity or person; or (D) A company with a class… [read post]
6 Apr 2013, 12:18 pm
A Nassau County Family Lawyer said the subpoenas also sought all documents regarding any equity interest of the corporation’s former comptroller, and the payment of salary, benefits and dividends to him in connection with his relationship to the nonparty movants. [read post]
2 May 2023, 9:01 pm
Further, investors would benefit from the proposal’s changes to enhance the protections that qualified custodians provide, which helps protect assets should the adviser or custodian go bankrupt. [read post]
23 May 2023, 9:01 pm
In 1935, Congress mandated that the newly formed SEC conduct a study of investment trusts and investment companies, report to Congress on their findings, and make recommendations.[1] The Commission subsequently reported to Congress that investment trusts should provide everyday investors with an ability to participate in diversified pools of securities while making capital available to issuers.[2] They identified, though, a set of failures with the funds of those days. [read post]
20 May 2019, 3:24 am
Chancellor Bouchard then summed up: [T]he past two years of their relationship demonstrates that Aigner and DiFalco do not trust each other, do not get along, and are deadlocked on issues critical to the Company. [read post]
27 Jan 2009, 1:13 pm
The complaint also names as defendants two related HSBC entities, HSBC Securities Services (Ireland) Ltd. and HSBC Institutional Trust Services (Ireland) Ltd., which acted as administrator, registrar, transfer agent and custodian for the Optimal Funds. [read post]
4 Dec 2023, 6:31 am
The companies listed below, in alphabetical order, are: Ai.Law. [read post]
25 Jan 2024, 4:00 pm
Editor’s Note: Welcome to “Vendor Voices in eDiscovery,” a regular and trusted waypoint within the rapidly changing landscape of eDiscovery. [read post]
