Posts from David Jenson
ISS Charged with Selling Shareholder Vote Data; Agrees to $300,000 Settlement
Investment Advisers, Public Companies and Securities The SEC and Institutional Shareholder Services, Inc. (ISS) have settled public administrative and cease-and-desist proceedings initiated against ISS by the SEC alleging that ISS violated Section 204A of the Advisers Act by failing to establish, maintain, and enforce written policies and procedures designed to prevent the use of material nonpublic information by ISS in violation [...] Read more →
SEC Commissioner Comments on JOBS Act; Immigration Reform
Consumer Protection, Private Equity On May 18, 2013, SEC Commissioner Luis A. Aguilar spoke at the annual gala of the Georgia Hispanic Chamber of Commerce, using the opportunity to highlight the contributions of... Read more →
SEC Agrees Not to Prosecute Ralph Lauren Corporation for FCPA Violations
Public Companies and Securities For the first time, the SEC has entered into a Non-Prosecution Agreement (NPA) with a company relating to misconduct under the Foreign Corrupt Practices Act (FCPA). The SEC... Read more →
Don’t Lie About Assets Under Management
Investment Advisers Umesh Tandon, president, chief compliance officer, and sole owner of Simran Capital Management, recently agreed to a settlement with the SEC relating to alleged violations of the... Read more →