Search for: "INSTITUTIONAL TRADING CORPORATION"
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6 Feb 2024, 9:05 pm
Our results underscore the board’s role in instituting disclosure policies that regulate what is disclosed and how it is disclosed. [read post]
5 Feb 2024, 12:44 pm
Financial institutions, with the consent of the Reporting Company, will be able to access the database for customer due diligence requirements imposed by state and federal laws. [read post]
5 Feb 2024, 11:54 am
Any financial regulators that oversee those institutions will also be privy to that information. [read post]
3 Feb 2024, 10:59 am
Mary Katherine Amerine, Reasonably Careless Consumers in TM & False Advertising How do courts treat consumers in TM and false advertising cases? [read post]
2 Feb 2024, 11:08 am
Nikola Datzov, Can AI Keep a (Trade) Secret? [read post]
2 Feb 2024, 6:31 am
Using detailed holding data of mutual funds, our paper first documents a rising trend in mutual fund dual holdings of U.S. publicly traded firms. [read post]
2 Feb 2024, 6:31 am
Using detailed holding data of mutual funds, our paper first documents a rising trend in mutual fund dual holdings of U.S. publicly traded firms. [read post]
2 Feb 2024, 3:00 am
Many decide to trade their hard-earned institutional knowledge for fat paychecks on K Street, while others put their experience to use working on some political passion project at an interest group. [read post]
30 Jan 2024, 9:02 pm
The requirement that defendants must either admit or at least promise not to deny the government’s allegations of wrongdoing as a condition of settlement has not been widely adopted by federal agencies.[18] Some agencies even explicitly allow settling defendants to deny the allegations of wrongdoing.[19] As the Federal Trade Commission noted when approving one such settlement in 2012, it was confident in the work of its staff: it is the evidentiary record developed by FTC… [read post]
29 Jan 2024, 12:00 pm
The representative suggested short-term trades in corporate bonds and preferred securities on numerous occasions, causing over $900,000 in losses for 10 clients. [read post]
25 Jan 2024, 9:01 pm
The Whistleblower Pilot Program applies to two sets of offenses: Cases of criminal conduct by or through public or private companies, exchanges, financial institutions, investment advisers or investment funds involving fraud, corporate control failures or other acts affecting market integrity. [read post]
25 Jan 2024, 4:06 am
Law Firms, New York Post (July 8, 2023), and the arbitral institutions themselves. [read post]
24 Jan 2024, 4:29 pm
It was an active year for fraud enforcement at the Securities and Exchange Commission (SEC) and Commodities Futures Trading Commission (CFTC). [read post]
24 Jan 2024, 4:35 am
For more discussion of necessary changes to insider trading policies, check out our January-February 2023 issue of The Corporate Counsel. [read post]
24 Jan 2024, 4:30 am
During the “Taking a Fresh Look at Company Policies” panel that I moderated at the Northwestern Securities Regulation Institute yesterday, we discussed three compensation policies that companies should review in light of recent SEC action. [read post]
23 Jan 2024, 9:01 pm
Cardinal Health The $109 million settlement with Cardinal Health resolves allegations concerning the acquisition and integration of Cordis Corporation from Johnson & Johnson for $1.9 billion in 2015. [read post]
23 Jan 2024, 4:45 am
This evolution reflects the changing landscape of global trade, technology, and security concerns. [read post]
22 Jan 2024, 9:01 pm
Alan served as Director of the Division of Corporation Finance (“CorpFin”) from 1970 to 1976. [read post]
22 Jan 2024, 8:24 pm
"Far from being the cause of our problems, free trade capitalism as an economic system is the only instrument we have to end hunger, poverty and extreme poverty across our planet. [read post]
22 Jan 2024, 7:51 am
A September 2022 iRobot investor filing revealed that the Federal Trade Commission (FTC) had made a “second request” for additional information pertaining to the transaction. [read post]
