Word: sec
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Dates: during 2000-2009
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...corporate-reform movement took two body blows last week: the Supreme Court overturned the conviction of accounting firm Arthur Andersen for obstruction of justice, and Securities and Exchange Commission (SEC) chief William Donaldson quit under pressure...
...future prosecutions? The Sarbanes-Oxley corporate-reform law, passed in 2002, supersedes the one under which Andersen was tried-and it broadens the criteria that determine who may be prosecuted for obstruction of justice. Still, says Todd Jones, a corporate litigator at the Atlanta law firm Powell Goldstein, the SEC and the Justice Department are likely to be more cautious about pursuing such cases now, having been warned against prosecutorial overreach. One prominent white-collar litigant, former financier Frank Quattrone, above left, is appealing his conviction on similar grounds and has argued that he did not mean to commit...
...preliminary proxy statement filed on May 25 with the Securities and Exchange Commission (SEC), Harvard asked the shareholders of Korea Equity Fund, Inc., to reject the fund’s nominees to its board of directors and vote to terminate the fund’s agreement with its investment manager, Nomura Asset Management U.S.A...
Harvard owned 2,441,200 shares in the fund on March 31, according to SEC filings. If it holds the same number of shares today, its stake would be worth $16.4 million, making it the fund’s largest institutional shareholder...
Sowood General Counsel Megan Kelleher said the filing is Harvard’s first proxy statement concerning Korea Equity Fund. The filing is now subject to SEC review...