W.P. Stewart & Co., Ltd. Announces 30 June 2009 Financial Results and Gives Corporate Update Nov 21, 2009
Such risks and uncertainties include, without limitation, the adverse effect from a decline or volatility in the securities markets, the general downturn in the economy, the effects of economic, financial or political events, a loss of client accounts, inability of the Company to attract or retain qualified personnel, a challenge to our U.S. tax status, competition from other companies, changes in government policy or regulation, a decline in the Company's products' performance, inability of the... (Primezone Releases)
Bond Weakling California Shows Perils of States' Failure to Disclose Debts Oct 28, 2009
Both self-regulatory organizations, which are overseen by employees of investment banks and securities dealers that operate in the market, attempt to ensure disclosure by requiring bond underwriters to insist on it in their contracts with borrowers -- leaving enforcement to banks that depend on issuers for business. Regulators Dont Agree. (Bloomberg)
Cyber Security for a Smarter Grid Oct 1, 2009
Government agencies such as the Federal Energy Regulatory Commission (FERC), self-regulatory organizations like the North American Electric Reliability Corporation (NERC), and state public utility and service commissions currently regulate and enforce reliability standards and policies for electricity generation and transmission. All of these organizations are in the process of investigating and developing more advanced cyber security and critical infrastructure protection (CIP) policies, as... (Energy Pulse, CO)
Goldman faces credit-swap inquiry Aug 6, 2009
The company and some affiliates have received inquiries from various governmental agencies and self-regulatory organizations, the firm said in documents filed yesterday with the Securities and Exchange Commission. Goldman Sachs, which made more than $100 million in trading revenue on a record 46 separate days in the second quarter, did not provide further information. (Boston Globe)
The battle is just beginning Jun 18, 2009
Financial markets will continue to be regulated by the Securities Exchange Commission, the Commodities Futures Trading Commission, the Treasury and the so-called self-regulatory organizations of the major stock exchanges. Each of these players has fiercely defended its turf in the discussions leading up to Wednesday's proposal. (MSNBC -- Business)
PIMCO Corporate Income Fund, PIMCO Corporate Opportunity Fund and PIMCO High Income Fund May Postpone Payment of Declared Monthly Common Share Dividends and Declaration of Next Monthly Dividends Feb 26, 2009
Such risks and uncertainties include, without limitation, the adverse effect from further declines in the securities markets and in the Funds' performance, a general downturn in the economy, competition from other companies, changes in government policy or regulation, inability to attract or retain key employees, inability to implement their operating strategy and/or acquisition strategy, and unforeseen costs and other effects related to legal proceedings or investigations of governmental and... (Primezone Releases)
The Korea Fund, Inc. Posts Updated Closed-End Fund Card Feb 14, 2009
Such risks and uncertainties include, without limitation, the adverse effect from a decline in the securities markets or a decline in the Fund's performance, a general downturn in the economy, competition from other companies, changes in government policy or regulation, inability to attract or retain key employees, inability to implement its operating strategy and/or acquisition strategy, and unforeseen costs and other effects related to legal proceedings or investigations of governmental and... (Primezone Releases)
