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20 Nov 2023, 9:01 pm
” 28 On the second issue, the defendants attacked the claims on the basis that the claims were protected from clawback under the Bankruptcy Code’s “safe harbor”provision in section 546(e). 29 According to the defendants, the Bankruptcy Code’s safe harbor provision, intended to provide stability to the capital markets and to protect capital market transactions from being undone by Bankruptcy Code avoidance provisions, insulated the relevant transfers.30… [read post]
15 Nov 2023, 6:26 am
In addition, the SEC obtained judgments from federal courts ordering: Danske Bank, a multinational financial services corporation, to pay a $178.6 million civil penalty to resolve charges that it misled investors about its anti-money laundering compliance program and failed to disclose risks posed by the program’s significant deficiencies; and Vale S.A. [read post]
15 Nov 2023, 5:10 am
KLDiscovery Inc. [read post]
14 Nov 2023, 9:01 pm
” In fiscal year 2023, the SEC obtained orders for $4.949 billion in financial remedies, the second highest amount in SEC history, after the record-setting financial remedies ordered in fiscal year 2022. [read post]
14 Nov 2023, 6:31 am
Posted by Subodh Mishra, Institutional Shareholder Services, on Tuesday, November 14, 2023 Editor's Note: Subodh Mishra is Global Head of Communications at Institutional Shareholder Services (ISS) Inc. [read post]
14 Nov 2023, 6:31 am
Posted by Subodh Mishra, Institutional Shareholder Services, on Tuesday, November 14, 2023 Editor's Note: Subodh Mishra is Global Head of Communications at Institutional Shareholder Services (ISS) Inc. [read post]
13 Nov 2023, 9:05 pm
”[19]The Interpretive Guidance states that the Council expects to “continue addressing most risks through its collaboration with primary financial regulators” and will base any nonbank financial company designation on “data-driven analysis that reflects the distinctive aspects of the company, its market, and its existing regulation. [read post]
13 Nov 2023, 9:51 am
” See In the Matter of Coinbase, Inc. [read post]
13 Nov 2023, 5:05 am
By Kouros Sadeghi-Nejad Introduction As the global climate crisis intensifies, an unlikely industry is bracing for an unpredictable storm of its own: the fine art market. [read post]
10 Nov 2023, 7:01 am
Previous employers include Ameriprise Financial Services, Inc. [read post]
10 Nov 2023, 6:00 am
It’s called ‘open banking’ and it just took a big step forward in the world’s biggest market. [read post]
9 Nov 2023, 10:08 pm
Their website provided news content like HT Media, focusing on India-America interests and stock market reports from India. [read post]
9 Nov 2023, 9:01 pm
For individuals, the compliance costs could be disproportionately large relative to their financial activity. [read post]
9 Nov 2023, 6:29 am
His previous employers include UBS Financial Services Inc. [read post]
8 Nov 2023, 10:14 pm
The regulator sanctioned Citigroup Global Markets, Inc; Morgan Stanley & Co., LLC; UBS Financial Services; and Wells Fargo Advisors, LLC a total of more than $9.1 million for selling leveraged and inverse exchange-traded funds (ETFs) without reasonable supervision and for not having a reasonable basis for recommending the securities. [read post]
8 Nov 2023, 9:05 pm
Such cases raise the possibility of conflicts of interest that can arise when asset managers are rushing to enter the CIT market. [read post]
3 Nov 2023, 3:04 pm
According to DOJ’s press release: Nostrum Laboratories Inc. [read post]
3 Nov 2023, 11:22 am
It also departs from this Court's precedent in Bantam Books, Inc. v. [read post]
2 Nov 2023, 12:59 pm
DBAs allow you to market and sell products or services under a different name. [read post]
1 Nov 2023, 9:01 pm
The JFTC’s investigation appears to have been prompted by an earlier investigation by Japan’s Financial Services Agency into a suspected breach of insurance rules. [read post]
