Harvard Corporate Governance

OCTOBER 16, 2022

In the past six months, the Securities and Exchange Commission has settled a number of enforcement actions against venture capital advisers who are exempt reporting advisers (ERAs) and not registered investment advisers (RIAs). The landscape appears to be changing under Gary Gensler’s leadership of the SEC.

Equity 252

Equity 252

Harvard Corporate Governance

JUNE 20, 2022

Key Points: The proposal on ESG disclosures for investment advisers and registered investment companies would introduce requirements for advisers and registered funds that consider ESG factors in their investment processes to disclose more about those factors’ role in investment decisions.

Compliance 189

Compliance 189

Harvard Corporate Governance

MAY 28, 2023

1] Form PF requires SEC-registered investment advisers to file reports with the SEC regarding private funds managed by such advisers and allows the Financial Stability Oversight Council to assess systemic financial risk to the U.S. Kshatriya, Nick Hemmingsen , Daniel Kahl , Scott A. Moehrke , and Reed T. financial system.

Equity 220

Equity Compliance 220

Harvard Corporate Governance

MARCH 18, 2024

However, when it comes to the remaining 5% of the votes, those held in “registered” form directly on the books of companies (or their transfer agents), the process is largely manual and opaque. In most contests, the outcome is known at the close of the polls. When it comes to further improving the U.S. more…)

Accounting Firms 124

Accounting Firms Firm Value Banking 124

IVSC

MAY 2, 2023

EDT Register here. Register now to secure your spot. EDT Register here. Register now and be part of this enlightening discussion. EDT Register here. EDT Register here. Programme Navigating Uncertainty: Insights on the Global Economic Outlook DATE: Wednesday 7 June, 2023 TIME: 1 p.m.–2:30 BST / 8:00 a.m.–9:30

Banking 246

Banking Marketability 246

Harvard Corporate Governance

NOVEMBER 30, 2022

1] And, if adopted, the SEC’s proposed cybersecurity risk management rules for registered investment advisers (RIAs), registered funds, and closed-end companies state that these registrants must report “significant cybersecurity incidents” to the SEC within 48 hours of discovery. [2]

225

225

Harvard Corporate Governance

DECEMBER 18, 2022

The SEC’s newly proposed amendments would require updates to certain registered fund liquidity risk management programs and would require swing pricing for certain funds. SEC proposes amendments to liquidity risk management and required swing pricing for certain funds. The amendments will become effective July 1, 2024. more…).

165

165

Harvard Corporate Governance

DECEMBER 16, 2022

Today, the Public Company Accounting Oversight Board (PCAOB) announced that it was able, in 2022, to inspect and investigate completely issuer audit engagements of PCAOB-registered public accounting firms headquartered in China and Hong Kong. standards, as required under the Sarbanes-Oxley Act. Third, Chinese-based issuers that access U.S.

Accounting Firms 198

Accounting Firms Compliance Marketability 198

Business Wire M&A

MAY 10, 2023

NEW YORK & SACRAMENTO, Calif.--(BUSINESS BUSINESS WIRE)--Computershare Governance Services Inc, a wholly owned subsidiary of Computershare Limited (ASX:CPU), announced today that the company intends to acquire the business and assets of SunDoc Filings.

52

52

Harvard Corporate Governance

MARCH 20, 2023

Pointing out that more funds are raised in private than registered offerings for over a decade, companies are electing to stay private than undertake the rigorous disclosure and regulatory mandates of public company status. In a recent speech, SEC Commissioner Caroline Crenshaw focused on the sparsity of disclosure in Rule 506(b) offerings.

228

228

Benzinga

NOVEMBER 1, 2022

Fox Corp (NASDAQ: FOXA ) reported first-quarter FY23 revenue growth of 5% year-on-year to $3.19 billion, beating the consensus of $3.17 Affiliate revenues increased 3% Y/Y to $1.71 billion, led by 6% growth in the Television segment. Advertising revenues increased 8% Y/Y to $1.22

52

52

Harvard Corporate Governance

APRIL 2, 2024

The final rules will become effective 60 days after publication in the Federal Register, or approximately late in the second quarter. Even with these somewhat expected and dilutive changes, challenges to the rule — legal, political and otherwise — are almost certain. We detail these likely challenges later on in this piece.

207

207

IVSC

APRIL 29, 2022

Former UK Chancellor of the Exchequer. Jennifer Simon Canada Managing Director (Valuation), CPP Investments. Ranjit Singh United States Chief, Global Markets, IMF. Former Deputy Chair, IOSCO. ” Intangible assets are increasingly seen to be driving enterprise value creation across sectors and industries. Investor TBC. and Germany.

Intangible Assets 246

Intangible Assets Finance Enterprise Value Corporate Finance 246

Harvard Corporate Governance

APRIL 18, 2024

Two recent SEC enforcement actions offer a first look at how the agency is approaching the use of artificial intelligence (“AI”) tools by registered firms. This post is based on their Ropes & Gray memorandum.

Compliance 117

Compliance Marketability 117

Harvard Corporate Governance

AUGUST 24, 2022

Pierce issued a statement in support of a settled administrative hearing brought the day before against Hamilton Investment Counsel LLC (“Hamilton”), a registered investment adviser based in Georgia, and its CCO.

Data Analysis 230

Data Analysis Compliance 230

Harvard Corporate Governance

APRIL 5, 2024

The Final Rules, which will become effective 60 days after publication in the Federal Register, apply to both domestic and most foreign private issuers (“ FPIs ”), regardless of industry sector, and to annual reports and registration statements. [4]

Compliance 152

Compliance 152

IVSC

FEBRUARY 10, 2023

Anyone can register to join these webinars and you will have the opportunity to ask questions and hear from the experts that are responsible for writing the IVS. You can register to attend a webinar by selecting from the options below. Our boards look forward to welcoming you and to updating you on the latest updates to IVS.

Marketability 130

Marketability Business Valuation 130

Harvard Corporate Governance

APRIL 11, 2022

One month prior to their March 9th announcement, the SEC released their proposed cyber rules specifically for registered investment advisers and registered investment funds.

247

247

Harvard Corporate Governance

NOVEMBER 9, 2023

This month we examine: A string of settled charges for alleged violations of the Whistleblower Protection Rule; Charges against an electronic trading firm and its broker-dealer subsidiary for allegedly making false and misleading disclosures regarding protecting customer trading data and preventing trader access to material non-public information (“MNPI”); (..)

Marketability 219

Marketability 219

Appraisers Blog

APRIL 4, 2024

I may still have the original, or I can find it in the Federal Register. So, where does that put the IRS requirement, new bank regulations, and Maryland Appraisal regulations: to follow USPAP when appraising? Was and is the original FIRREA regulation completed correctly? Is that what we should still be following?

Appraisal 75

Appraisal Banking 75

IVSC

FEBRUARY 19, 2024

Register to join the public meetings of the IVSC’s standards boards The IVSC’s standard-setting boards are convening for an in-person meeting in New York City from February 26 to 29, 2024.

Intangible Assets 130

Intangible Assets Business Valuation 130

Harvard Corporate Governance

MAY 11, 2022

The staff continues to examine whether registered investment advisors and registered funds accurately disclose their ESG investing approaches and adopt and implement policies, procedures and practices that are consistent with ESG-related disclosures.

Compliance 235

Compliance Technology 235

Harvard Corporate Governance

MAY 27, 2022

These provisions were amended in 1996 to authorize the Commission to define registered investment company names as “materially deceptive or misleading.” [1]. Based on that authority from Congress, the agency adopted the Names Rule in 2001.

Marketability 213

Marketability 213

Harvard Corporate Governance

APRIL 9, 2024

One settlement involved a registered investment adviser that provided robo-advisory services to retail accounts and also managed pooled investment vehicles. The advisers paid combined civil penalties of $400,000.

Marketability 117

Marketability 117

Harvard Corporate Governance

DECEMBER 24, 2022

On November 2, 2022, the SEC voted 3 to 2 (Commissioners Hester Peirce and Mark Uyeda dissenting) to adopt amendments to Form N-PX to enhance the information mutual funds, exchange-traded funds and certain other registered funds (“funds”) report about their proxy votes (together, the “final rules”). [1]

230

230

Harvard Corporate Governance

SEPTEMBER 10, 2022

On August 10, 2022, the Securities and Exchange Commission (“SEC”) and Commodity Futures Trading Commission (“CFTC”) proposed additional amendments (the “Proposed Amendments”) [1] to Form PF, the periodic report filed by registered investment advisers that manage private funds. [2]. Background.

Equity 224

Equity 224

Financial Times M&A

MARCH 9, 2024

Parameta Solutions registered as standalone company in preparation for potential listing or sale

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81

Harvard Corporate Governance

MAY 26, 2023

The public comment period will now remain open until June 27, 2023, or until 30 days after the date of publication of the reopening release in the Federal Register, whichever is later. more…)

Equity 233

Equity 233

Harvard Corporate Governance

JANUARY 8, 2023

This month’s installment covers: Charges against the founder and three promoters of a cryptocurrency trading service operating as a Ponzi scheme; A ruling that a blockchain’s digital token qualifies as a security; An action against a registered investment advising firm for failing to follow its own ESG policies and procedures; The SEC’s remarks at (..)

Compliance 231

Compliance 231

Harvard Corporate Governance

NOVEMBER 19, 2022

The final rules will become effective 60 days following publication of the adopting release in the Federal Register. [1]

238

238

Harvard Corporate Governance

OCTOBER 29, 2023

The FDIC will accept comments on the Proposed Standards for 60 days after they are published in the Federal Register , which is expected shortly. In this Legal Update, we provide background on governance and risk management at state-chartered banks and discuss the Proposed Standards. more…)

Banking 235

Banking 235

Harvard Corporate Governance

NOVEMBER 4, 2023

Companies must file their policy as an exhibit to their first annual report filed on or after December 1, 2023 (Form 10-K for US domestic issuers, Form 20-F for FPIs, Form 40-F for filers under the multijurisdictional disclosure system (MJDS), and Form N-CSR for registered management investment companies).

Compliance 263

Compliance 263

Benzinga

SEPTEMBER 28, 2022

Pune, India, Sept. 28, 2022 (GLOBE NEWSWIRE) -- The global agriculture equipment market size was valued at USD 157.89 billion in 2021. The market is projected to grow from USD 168.30 billion in 2022 to USD 272.36 billion by 2029, exhibiting a CAGR of 7.1% during the forecast period.

Marketability 40

Marketability 40

Harvard Corporate Governance

NOVEMBER 8, 2023

The amendments and revised Schedule 13D deadline will become effective 90 days after publication of the amendments in the Federal Register.

Compliance 206

Compliance Equity Marketability 206

Harvard Corporate Governance

SEPTEMBER 21, 2023

In 1996, Congress amended these provisions to authorize the Securities and Exchange Commission to define registered investment company names as “materially deceptive or misleading.” [1] Thus, in the Investment Company Act of 1940, Congress included fund naming provisions. 1] (more…)

186

186

Benzinga

APRIL 20, 2022

Pune, India, April 20, 2022 (GLOBE NEWSWIRE) -- The petrochemicals market size was USD 371.9 billion in 2020. The market size is expected to rise from USD 582.4 billion in 2021 to USD 888.3 billion by 2028 at a CAGR of 6.2% during the forecast period.

Marketability 52

Marketability 52

Benzinga

APRIL 12, 2024

Upon closing the merger, Progressive Care shareholders will receive newly issued, registered shares of NextPlat’s common stock. The exchange ratio of NextPlat shares to be. Full story available on Benzinga.com

Equity 52

Equity Marketability 52