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2 Nov 2023, 9:01 pm
“[W]e must now urgently develop a broad regulatory regime for over-the-counter derivatives. [read post]
27 Oct 2023, 9:25 pm
For example, the SFC has allowed SFC-licensed VA trading platforms (SFC-licensed platforms) to serve retail investors and has authorized VA futures exchange traded funds for public offering in Hong Kong. [read post]
25 Oct 2023, 9:05 pm
This post comes to us from Professor Karen E. [read post]
24 Oct 2023, 9:01 pm
From Congress to law enforcement to the courts, these levels are at, or below, historic lows.[2] Studies also show that only a small percentage of Americans have any significant level of confidence in banks, technology companies, or big business.[3] Regardless of whether you are a regulator, financial professional, or an attorney who counsels large entities, you should all be concerned. [read post]
22 Oct 2023, 9:05 pm
§ 12-104(e) (Am. [read post]
20 Oct 2023, 2:40 pm
The SEC asserted that the Administrator, at the behest of the fund’s sponsor, calculated the fund’s net asset value without including trading losses, resulting in materially overstated values in the investors’ account statements. [read post]
19 Oct 2023, 7:06 pm
" (NIEO ¶ 4(e)).And, of course, the underlying premise remains the same. [read post]
17 Oct 2023, 9:23 am
The same goes for whether these movements "simulat[e] sexual intercourse" and the like. [read post]
16 Oct 2023, 9:01 pm
Although this term may make sense for a privately held or family-controlled company, its application to a non-member bank whose parent is publicly traded risks creating confusion. [read post]
16 Oct 2023, 7:48 am
The RNSA is then required to keep confidential certain information and to make other information publicly available on the next trading day. [read post]
16 Oct 2023, 5:01 am
None of these four victims, however, ceased trading with white merchants. [read post]
11 Oct 2023, 11:17 am
Court of Appeals for the 2nd Circuit applied general preemption principles to his case, and concluded that New York’s interest-on-escrow law was preempted because it “would exert control over banks’ exercise of th[e] power” to “create and fund escrow accounts. [read post]
9 Oct 2023, 7:19 am
The global shipping industry is the backbone of international trade, connecting economies and facilitating the movement of goods. [read post]
8 Oct 2023, 10:14 am
Cortés, & Javier Perote, Prudential regulation and bank solvency based on flexible distributions: An example for evaluating the impact of monetary policy Dmitry Erokhin, Tax effects on foreign direct investment—Just a rerouting Isabel P. [read post]
5 Oct 2023, 7:26 am
The attorney was to write a demand letter, accept the payment in their bank account, and receive 5% of the proceeds. [read post]
3 Oct 2023, 9:01 pm
In July and August 2023, the SEC filed 84 actions and the CFTC filed 16, against a combined total of 176 defendants and respondents. [read post]
2 Oct 2023, 9:50 am
Department of Justice and the Federal Trade Commission issued new Draft Merger Guidelines. [read post]
20 Sep 2023, 5:50 am
The transaction was financed by Woodforest National Bank and NorthCoast Mezzanine, with advisory roles played by Kenyon Group, BakerHostetler, and Moss Adams. [read post]
15 Sep 2023, 6:47 pm
Other have arisen around trade blocs: OECD, BRICS, and the like. [read post]
15 Sep 2023, 6:00 am
In less than two and a half years, the Federal Trade Commission (FTC) and U.S. [read post]
