Hints and tips:
...On Friday the US Securities and Exchange Commission charged Morgan Stanley and its former equity syndicate desk head Pawan Passi with fraud in the conduct of block trading business....
...New documents posted this week with the Securities and Exchange Commission in the US shed some light over how the deal eventually got done, and why it took so long....
...Similarly, Securities and Exchange Commission chair Gary Gensler has said that the basic US laws governing securities, exchanges, brokers, funds and advisers, passed in the middle of the past century, should...
...The Securities and Exchange Commission is plotting a crackdown after fining BNY Mellon’s investment adviser division $1.5mn for allegedly misstating and omitting information about ESG investment considerations...
...The report noted that the US Securities and Exchange Commission this year formed a team in its enforcement division to hunt for ESG misconduct....
...For example, in a 2010 opinion (Chevron Corp v Steven Donziger, et al) handed down from the US district court in Manhattan, the judge wrote that the “evidence at trial established that Donziger, a New York...
...Bailey has served on the boards of LCH Group and the London Stock Exchange Group....
...Meet the man taking on corporate America When the Securities and Exchange Commission chairman Jay Clayton appeared before the Senate Banking Committee in December, he was accused of being a “mouthpiece”...
...The affliction has apparently become so acute that President Trump announced in August (via Twitter, of course) that he'd requested the US Securities and Exchange Commission to consider scrapping a decades-old...
...Another area of concern is initial public offerings — the shutdown means no Securities and Exchange Commission, and no SEC means no IPOs. It also means that some merger deals cannot close....
...The lawyers representing BlackRock et al argue that the retransfer of the bonds was “unlawful”. Only five bonds were moved, out of a total of 52 conceivable candidates....
...Exchanges, business groups and the leadership of the Securities and Exchange Commission have decried the trend and are seeking ways to encourage listings....
...A testy exchange followed between Burgmans and Elliott portfolio manager Wiktor Sliwinski when he stepped up to ask a question....
...The gap has also been widening, rising by 2.34 years for men and 2.91 years for women since 2001 (source: Chetty et al 2016) – with deaths by suicides, substance abuse, and drug overdoses rising for certain...
...For a company like Rural that is traded on a major exchange, ―[t]urnover measured by average weekly trading of . . . 1% would justify a substantial presumption‖ of market efficiency. 5 Bromberg et al., Bromberg...
...into mortgage-related securities....
...The biggest remaining restrictions on capital flows today are on foreign currency exchange for individuals, and inward and outward portfolio investment....
...The “back end” of the network – the part where Netflix connects to Comcast et al – would be a tightly-regulated telecoms service....
...(FT) Murdoch banker in key Goldman Sachs role John Waldron, known for working on Rupert Murdoch’s demerger of Fox and News Corp and the bid for Time Warner, has been appointed co-head of investment banking...
...JPMorgan, which owned $1.3bn of PetroChina at midyear, or 7 per cent of shares outstanding, asked the Securities and Exchange Commission last month for clearance to exclude Investors Against Genocide’s proposal...
...“People familiar with discussions between the bank and regulators including the Securities and Exchange Commission said JPMorgan had conceded it would have to pay some amount of money and acknowledge failures...
...The incident comes weeks after the Securities and Exchange Commission granted permission for US companies to use social media for shareholder communications and Bloomberg began incorporating selected Twitter...
...So it’s not surprising that the first response from Buchheit et al is to answer back with bits of the bond contract that suggest sneaky loopholes instead....
...New rules by the US Securities and Exchange Commission that require companies to disclose payments related to individual projects, an implementation of provisions in the 2010 Dodd-Frank financial regulation...
...In the US, the idea of a central rating assignment body is being championed by Senator Al Franken, but a Securities and Exchange Commission report last month sounded sceptical....
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