Search for: "SEC v. Asset Recovery and Management Trust"
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18 May 2016, 11:00 am
For example, in Erwin v. [read post]
13 Apr 2022, 9:01 pm
These priorities reflect SEC Chair Gary Gensler’s stated view that the examinations program is crucial to the SEC’s work to protect investors and instill trust in markets. [read post]
15 Jun 2017, 8:24 am
It was formerly known as American Realty Capital Trust V, Inc. [read post]
25 Apr 2024, 9:05 pm
For example, in Liu v. [read post]
18 Jul 2009, 7:31 am
In addition, Chairman Schapiro created new senior level positions within the examination program for individuals with expertise in areas such as derivatives, valuation, securities trading, risk management and forensic accounting. [read post]
19 Mar 2021, 6:08 am
Securities and Exchange Commission, on Thursday, March 18, 2021 Tags: Asset management, Institutional Investors, Mutual funds, Proxy advisors, Proxy voting, SEC, Securities regulation, Shareholder voting, Transparency [read post]
24 Mar 2024, 9:01 pm
Third, disclosure promotes trust in markets and the companies that are raising money from the public. [read post]
22 Jul 2020, 3:07 pm
In April 2015, the SEC awarded more than $1.4 million to a compliance professional who “reported misconduct [to the SEC] after responsible management at the entity became aware of potentially impending harm to investors and failed to take steps to prevent it. [read post]
23 Apr 2023, 9:01 pm
We engage with more than 40,000 registrants—asset managers, brokers, dealers, exchanges, fund complexes, public companies, and many more. [read post]
19 Jul 2022, 11:31 am
Sec. 2. [read post]
11 Dec 2009, 11:38 am
The regulations must also require any originator to disclose fulfilled repurchase requests across all trusts aggregated by the originator, so that investors may identify asset originators with clear underwriting deficiencies (Section 1504). [read post]
23 Jan 2024, 9:01 pm
The SEC had charged AllianzGI with abandoning its investment and risk management strategies in the management of the Structural mutual funds. [read post]
5 Aug 2017, 11:50 am
, Haney v. [read post]
28 Jan 2009, 9:40 am
V. [read post]
9 Jan 2013, 12:00 am
The FDIC’s track record in settlement recoveries is not significantly better. [read post]
14 Jan 2019, 2:00 am
Under ERISA, insurance companies are fiduciaries when they exercise any authority or control related to managing or disposing of plan assets. [read post]
5 Apr 2009, 1:26 pm
Attorney’s office in the Eastern District of New York announced the criminal indictment of the two former portfolio managers.[14] In September 2008, the SEC filed civil charges against two brokers in connection with purchases for customers of more than $1 billion in auction rate securities. [read post]
15 Aug 2022, 2:35 pm
Exceptions may apply, including for stock repurchases: occurring in connection with certain non-taxable corporate reorganizations; by regulated investment companies and real estate investment trusts; not exceeding $1 million in aggregate during the taxable year; and to the extent treated as a dividend. [read post]
13 Jan 2016, 5:05 pm
The SEC subsequently mandated that publicly traded U.S. companies submit various periodic reports to the agency in a timely fashion, including an annual financial report. [read post]
10 Mar 2014, 7:35 am
"Worker owned businesses are a central piece to a full economic recovery. [read post]
