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8 Mar 2021, 11:30 am
” “Our priorities reflect the complicated, diverse, and evolving nature of the risks to investors and the markets, including climate and ESG,” said Division of Examinations Director Pete Driscoll. [read post]
8 Mar 2021, 5:48 am
In addition, if a private fund owns a portfolio including a company impacted by the recent economic conditions, including the so-called "meme stocks," recently the focus of mainstream media attention, Driscoll advised. [read post]
16 Feb 2021, 4:00 pm
Driscoll of the Commercial Division of the Supreme Court, Nassau County rejected both of Soundview’s claims. [read post]
28 Jan 2021, 3:10 am
And while the company isn’t in passive index funds that track to the S&P 500, it is included in some retail exchange traded funds, so the trading is impacting more than just the company itself. [read post]
22 Jan 2021, 10:53 am
Joint Statement Regarding Ongoing Market Volatility by Acting Chair Allison Herren Lee; Pete Driscoll, Director, Division of Examinations; and Christian Sabella, Acting Director, Division of Trading and Markets (SEC Release / January 27, 2021)SEC Charges New Jersey Insurance Agent with Defrauding Investors (SEC Release)Marketing Company Agrees to Pay $150 Million for Facilitating Elder Fraud Schemes / Victims of Schemes to Receive $127.5 Million (DOJ Release)Investment Fraudster… [read post]
2 Dec 2020, 7:20 am
Too often, says Driscoll, OCIE sees firms take a “check-the-box” approach to their CCO position, meaning they are given just enough authority to complete the bare minimum compliance tasks but aren’t fully integrated into the ongoing operations, direction, or major decisions of the company. [read post]
24 Nov 2020, 5:18 pm
The staff has engaged in outreach efforts with many advisers and investment company complexes to assess the impacts of COVID-19, he explained, including challenges with operational resiliency and fund liquidity. [read post]
24 Nov 2020, 4:32 am
Driscoll moved the Outreach program to a panel with Dalia Blass from Investment Management and Marc Berger from Enforcement. [read post]
28 Oct 2020, 9:17 pm
” From a practical perspective, what challenges do you and your company help overcome? [read post]
26 Oct 2020, 5:34 am
Defendants Renfroe, Driscoll & Foster LLP and Patrick Foster (collectively, “Foster”) move to dismiss the complaint as against them. [read post]
28 Sep 2020, 1:51 am
For instance, in 2015, in the Ross case that I wrote about here, Justice Timothy Driscoll cited the operating agreement’s broad purpose clause (“any lawful act or activities for which limited liability companies may be formed under the [NY LLC Law]”) in dismissing a dissolution petition brought after the LLC’s sole realty asset was sold and the controlling members decided to reinvest the sale proceeds in a new property rather than distributing them. [read post]
20 Apr 2020, 9:05 pm
It is these already established networks that companies can expand to include coronavirus. [read post]
14 Feb 2020, 3:00 am
Political App Faces Legal Challenge Over Donation Reveals Forbes – John Scott Lewinski | Published: 2/11/2020 An app and web service designed to peer inside the world of corporate campaign finance is catching the ire of companies who would rather not share such information publicly. [read post]
16 Jan 2020, 11:09 pm
Driscoll thought Carolyn’s leukocytosis fit with C. difficile, but her stool sample tested negative. [read post]
10 Aug 2019, 4:00 am
Driscoll v. [read post]
1 Aug 2019, 11:01 pm
Representatives from 187 companies, including 41 new exhibitors, showcased equipment and the latest innovations in food safety services in the Exhibit Hall. [read post]
12 Jul 2019, 3:00 am
National/Federal 2020 Democrats Vow to Get Tough on Lobbyists The Hill – Alex Gangitano | Published: 7/7/2019 Democratic presidential hopefuls are taking aim at the lobbying world, vowing to enact sweeping reform proposals if they win election. [read post]
6 Jun 2019, 1:44 pm
Peavler was integral to the issuance of the SEC’s Seaboard Report regarding cooperation, wherein the Commission declined to take action against a company in recognition of the company’s response to the conduct at issue. [read post]
4 Jun 2019, 11:41 am
Driscoll. [read post]
4 Jun 2019, 5:37 am
When examining a platform trading in digital assets, OCIE staff will assess if it needs to register as exchange, Driscoll stated. [read post]
