Implementing An Issuer Centric Shareholder Class Action Policy

FRT Admin
Site administrator
February 22, 2019

Mitigating potential risks and benefits of an ‘issuer-centric’ approach

Increasingly, fiduciaries are implementing ‘issuer-centric’ policies to recover investment losses from fraud. In the past, efforts have often been ‘case-centric’ – board policies and procedures were reactive to announced case filings.

When an investor learned of a suit, often from prosecuting counsel or their funder, the fund’s trade data was checked only for the specific security identifiers covered by the litigation. If a new case got filed in another country, trade data was again checked but only for security identifiers in that matter.

In this report, we review the potential risks and benefits of implementing an issuer-centric shareholder class action policy.

What you will learn:

  • The purpose of an investment recovery policy
  • Mitigating potential risks
  • Benefits of an ‘issuer-centric’ approach

 

 

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Founded in 2008, Financial Recovery Technologies (FRT) is a leading technology-based services firm that helps the investment community identify eligibility, file claims and collect funds made available in securities and other class action settlements. Offering the most comprehensive range of claim filing and monitoring services available, we provide best-in-class eligibility analysis, disbursement auditing and client reporting, and deliver the highest level of accuracy, accountability and transparency available. For more information, go to www.frtservices.com.

 

This communication and the content found by following any link herein are being provided to you by Financial Recovery Technologies (FRT) for informational purposes only and does not constitute advice. All material presented herein is believed to be reliable but FRT makes no representation or warranty with respect to this communication or such content and expressly disclaims any implied warranty under law. Opinions expressed in this communication may change without prior notice. Firms should always seek legal and financial advice specific to their unique situation and objectives.