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Your search keyword '"Raine, George"' showing total 5 results
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5 results on '"Raine, George"'

2. The ESG Rule That Wasn't

Author

Raine, George B.

Subjects
United States. Securities and Exchange Commission -- Powers and duties, Mutual funds -- Names -- Laws, regulations and rules, Business names -- Laws, regulations and rules, Corporate sustainability -- Laws, regulations and rules, Government regulation, Company name change, Business, international
Abstract

On September 20, 2023, the SEC issued a release (the 'Release') adopting changes to Rule 35d-1 under the 1940 Act, as amended, (the 'Names Rule'), and related form amendments. Largely [...]

Published
2023

3. Homeless in America

Author

Alter, Jonathan, primary, Stille, Alexander, additional, Doherty, Shawn, additional, Greenberg, Nikke Finke, additional, Agrest, Susan, additional, Smith, Vern E., additional, and Raine, George, additional

Published
2017
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4. Regulatory monitor: SEC update

Author

Raine, George B., Brown, Jason E., Geffen, David M., and Adams, Stephen D.

Subjects
United States. Securities and Exchange Commission, Royal Bank of Canada, Banking industry, Banking industry, Banking, finance and accounting industries, Business, Law
Abstract

SEC's Information Update for Advisers Relying on the Unibanco No-Action Letters Overview In March, the Securities and Exchange Commission's (SEC) Division of Investment Management published a four-page Information Update for [...]

Published
2017

5. Navigating the Shanghai-Hong Kong Stock Connect: relevance, risks, and practical considerations for investment advisers

Author

Raine, George B. and Adams, Stephen D.

Subjects
Financial markets, Consultants, Stocks, Stock-exchange, Securities industry -- Foreign operations, Securities industry, Banking, finance and accounting industries, Business, Law, Employee Retirement Income Security Act of 1974, Shanghai Stock Exchange -- Foreign operations
Abstract

This article explores some of the opportunities and risks presented by the Shanghai-Hong Kong Stock Connect (the Stock Connect), and reviews practical considerations for investment advisers in beginning to use [...]

Published
2015

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