Search for: "Principal Global Investors Trust Company"
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24 Mar 2020, 1:52 pm
At least 150 companies have warned investors that earnings will not be good; many have publicly withdrawn guidance. [read post]
21 Nov 2011, 12:49 am
In June 2009, the trustee for the Summit Accomodators Liquidation Trust filed a civil action against Umpqua Bank, alleging that the bank knowingly aided and abetted the principals of Summit in the perpetration of a multi-million dollar Ponzi scheme. [read post]
9 Feb 2010, 7:36 am
(Might mean requiring all investments to be placed in a blind trust.) 2. [read post]
28 Jan 2009, 9:40 am
Madoff was able (i) to transcend traditional "affinity fraud" and move to a global scale through the use of "feeder funds" (i.e., hedge funds that seek to diversify through investing in other funds - or "fund of funds"), and (ii) to maintain investor confidence in his operation for several decades (which factor, of course, aggravates the problem of inadequate regulatory oversight). [read post]
1 Sep 2011, 11:58 am
After receipt of this information, however, FINRA found that Citigroupandrsquo;s follow-up was andquot;superficial and incomplete.andquot; Finally, in May 2006, Citigroup received a whistleblower letter andndash; from the principal of a company acting as a third-party trustee for the cemeteries andndash; alleging misconduct by Singer in connection with the handling of the cemetery trusts. [read post]
18 Oct 2023, 7:36 pm
All of this is well known, though not much discussed, as the principal actors driving (and resisting) this movement tend to focus on the micro-analytics and micro-politics of the process. [read post]
23 Apr 2009, 4:20 am
Securities and Exchange Commission, the principal laws that protect investors and preserve business integrity are (i) the Securities Act of 1933, (ii) the Securities Act of 1934, (iii) the Trust Indenture Act of 1939, (iv) the Investment Company Act of 1940, (v) the Investment Advisers Act of 1940, and (vi) the Sarbanes-Oxley Act of 2002. [read post]
5 Apr 2009, 1:26 pm
The DOJ investigations seem to be targeting fraud, insider trading, and misrepresentations to investors regarding the financial health of a company. [read post]
16 Sep 2009, 1:47 pm
New Massachusetts companies. [read post]
10 Oct 2018, 12:40 pm
In short, the 2018 SEC Guidance: Stresses the need for public companies to put into practice disclosure controls and procedures designed to escalate cybersecurity risks and incidents to the right c-suite executives; Emphasizes the urgency for public companies to make appropriate disclosure to investors; and Articulates the SEC’s growing concerns about unlawful trading involving data security incidents. [read post]
23 Aug 2011, 2:00 am
See WisdomTree Trust, No-Action Letter (publicly available May 9, 2008). [read post]
2 Apr 2012, 6:15 am
Okay, follow me… Weyerheuser Lumber Company had a finance company they called Weyerheuser Mortgage Company, or WMC… and they sold it in 1997 or 1998 for $192 million to a company called Apollo Global Management, which was founded by Leon Black in 1990, and today manages an estimated $100 billion in assets. [read post]
16 Apr 2022, 8:06 am
Even if the company is literally worthless, there is still the full sovereign guarantee. [read post]
7 Apr 2022, 3:17 pm
Out of 95 global banks that responded to a Moody’s Investors Service survey, about two-thirds said they notified their boards of directors about a cyber event during the 12-month period that ended in April 2021. [read post]
6 Jul 2022, 1:00 am
SECURITY AND TRUSTS / AGENCY Swiss law does not have the concept of a trust. [read post]
3 Nov 2022, 11:00 pm
In some circumstances, foreign investors even have tax benefits (compared to local investors) for trading credits that are documented in the form of securities. [read post]
16 May 2011, 9:47 am
Says Keller: "Proper questioning and trust and prior working experience and their vetting made the referral strong. [read post]
8 Dec 2020, 2:29 pm
There is little doubt remediation will be easier, cheaper and better to swallow than a theoretical $200,000 premium increase and maybe an $8 million ransomware settlement that jeopardizes your credibility with your customers and investors. [read post]
12 May 2015, 3:26 pm
RCNs are notes whose repayment of principal is linked to the lowest value of the reference security during the RCN’s term. [read post]
4 Jan 2017, 1:06 pm
And although Trump’s promised focus on reducing business regulations may benefit the U.S. technology companies, his apparent skepticism toward globalism and free trade could prove a challenge to the country’s social media industry, perhaps the most global of all U.S. industries. [read post]
