According to a directive issued by the SEC, the advisor's CCO should maintain open relations with regulators, while not raising undo alarm among the firm's executives by reporting to the U.S. government every time when a compliance matter arises. The SEC has conveyed recently that it takes ...
quarterly reporting to sec的意思是提交证券委员会的季度报告。定义：这是上市公司或其他需要向证券交易委员会报告财务状况的公司，按照规定的时间周期提交的财务报告。目的：此类报告的主要目的是向SEC及公众披露公司的财务状况、经营成果和现金流量等重要财务信息，以供投资者、分析师和其他利益相关者评估公司...
In determining whether to report internally prior to reporting to the SEC, a whistleblower should consult with counsel to determine the optimal path forward that will maximize a whistleblower award while also guarding against retaliation. To qualify for an award, most whistleblowers are not required...
In an order issued on February 7, 2024, the U.S. Securities and Exchange Commission (the "SEC") granted a temporary exemption to institutional investment managers required to report certain information with regard to certain equity securities on Form SHO pursuant to Rule 13f-2, delaying the ini...
quarterly reporting to sec 英文quarterly reporting to sec 中文【经】 提交证券委员会的季度报告
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quarterly reporting to sec 【经】 提交证券委员会的季度报告相关短语 back spread (证券) 逆差价 tap rate (证券) 时价行情 bear position (证券) 看跌行情 ex all (证券) 不附权利 tap issue (证券) 时价发行 curb market (证券) 路边市场 flat yield(证券) 统扯收益 loan crowd (证券) 融股集团 morn...
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First up on the SEC’s corporate governance agenda, however, was proxy vote reporting. On September 29, at Chair Gensler’s first open meeting at the SEC helm, the Commission proposed new rules requiring institutional investment managers to disclose their say-on-pay votes and enhancements to ...
SEC Reporting. On or as soon as reasonably practicable after the Effective Date, Reorganized Xxxxxx shall cause the Common Shares to be registered under Section 12 of the Securities Exchange Act and remain a public reporting company as successor to Xxxxxx Drilling Company. Sample 1Custom Clause ...