Search for: "Global Marketing Systems, Inc."
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1 Dec 2023, 10:14 am
As the market for ESG experts has exploded in recent years, sustainable finance has, in some ways, grown around and beyond its roots. [read post]
22 Nov 2023, 10:36 am
It says the United States has “developed a massive, mutually reinforcing and interlocking legal system for long-arm jurisdiction” and has “put in place a whole-of-government system to practice long-arm jurisdiction. [read post]
15 Nov 2023, 6:26 am
In addition, FinTech investment adviser Titan Global Capital Management USA LLC agreed to pay more than $1 million combined in a civil penalty, disgorgement, and prejudgment interest to settle charges that it violated the marketing rule. [read post]
15 Nov 2023, 5:10 am
KLDiscovery Inc. [read post]
14 Nov 2023, 9:01 pm
In addition, FinTech investment adviser Titan Global Capital Management USA LLC agreed to pay more than $1 million combined in a civil penalty, disgorgement, and prejudgment interest to settle charges that it violated the marketing rule. [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, 9:01 pm
The focus on enforcement, however, should not be viewed as diminishing a variety of important SEC issues facing global market participants. [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]
22 Oct 2023, 9:01 pm
Morgan Stanley split from the Ninth Circuit, finding that a violation of Item 303 would be actionable under Section 10(b) and Rule 10b-5 if plaintiffs met the materiality requirements set forth in Basic Inc. v. [read post]
18 Oct 2023, 9:01 pm
DIMA marketed certain mutual funds as “ESG integrated” because they were subject to the Global ESG Integration Policy of its parent company (DWS). [read post]
18 Oct 2023, 3:02 pm
KLDiscovery To Expand Managed Review Capabilities with Cenza Technologies Acquisition KLDiscovery Inc. [read post]
6 Oct 2023, 9:00 am
Why Many Business Owners Would Love It If You Stopped Using Your Credit CardNPR – September 26, 2023 Whenever someone uses a credit card to buy a scoop of mango ice cream at one of Victor Garcia’s shops in Texas, the financial system takes a bite. [read post]
25 Sep 2023, 12:27 pm
This has broader implications for the safety and integrity of the financial system. [read post]
20 Sep 2023, 5:50 am
CS Disco, Inc., No. 1:23-cv-08270 (S.D.N.Y.). [read post]
31 Aug 2023, 2:58 pm
(YouTube), ByteDance Ltd (TikTok), Meta Platforms, Inc. [read post]
29 Aug 2023, 7:58 am
The Securities and Exchange Commission today announced charges against Archipelago Trading Services Inc. [read post]
22 Aug 2023, 5:01 am
Nebula and Client Portal: Key Drivers of KLDiscovery’s Q2 2023 Success KLDiscovery Inc., a leading global provider of electronic discovery, information governance, and data recovery technology solutions, has recently announced its financial results for the second quarter of 2023. [read post]
22 Aug 2023, 5:01 am
That they were “driving” a non-trivial portion of the US and global populace was immaterial. [read post]
17 Aug 2023, 9:05 pm
Coinbase Financial Markets, Inc., a cryptocurrency exchange platform, announced that it has secured approval from the National Futures Association to offer cryptocurrency futures trading to retail investors. [read post]
16 Aug 2023, 1:00 pm
With Android holding nearly 71% of the global market share of mobile device users in 2023, the challenge of collecting data from these devices has been a significant concern for legal and corporate professionals. [read post]
