Search for: "International Securities Exchange"
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2 Nov 2023, 1:16 pm
The Securities and Exchange Commission today announced that Canada’s largest bank, Royal Bank of Canada, will pay a $6 million penalty to settle charges that it violated the books and records and internal accounting controls provisions of the securities…Read the Full Press Release Have a securities law question? [read post]
3 Feb 2021, 8:01 am
While the OTC market trades thousands of securities, from large international companies to small domestic companies, Sanford said that smaller companies use the OTC market as a venture market. [read post]
4 May 2010, 2:30 am
Financial Services Authority and Others v Amro International SA Court of Appeal “The Financial Services Authority was entitled to order production of documents from accountants at the request of the US Securities and Exchange Commission without subjecting the request to critical examination. [read post]
10 Mar 2013, 10:41 am
He was a delegate on the Section's International Legal Exchange (ILEX) briefing trips to Jordan, Lebanon, Australia, and New Zealand. [read post]
12 Dec 2008, 6:32 pm
There are still financially sound 1031 exchange companies out there. [read post]
14 Oct 2009, 11:55 am
The SEC posted on its website its final rules regarding INTERNAL CONTROL OVER FINANCIAL REPORTING IN EXCHANGE ACT PERIODIC REPORTS OF NON-ACCELERATED FILERS. [read post]
8 Aug 2019, 7:25 am
The company has yet to file financials with the Securities & Exchange Commission. [read post]
14 Jul 2009, 2:17 pm
The SEC announced settlements with three former officers: On July 14, 2009, the Securities and Exchange Commission (the Commission) filed settled Final Judgments against L. [read post]
17 Oct 2018, 6:49 am
The problem has become big enough that the Securities and Exchange Commission released a report indicating that falling victim to this kind of cyber attack could be considered a failure in the company’s internal accounting controls. [read post]
17 Jun 2022, 7:23 am
According to a press release on June 16, 2022, the Securities and Exchange Commission charged registered broker-dealer Western International Securities, Inc. and five of its brokers – Nancy Cole, Patrick Egan, Andy Gitipityapon, Steven Graham, and Thomas Swan – with violating Reg BI (Regulation Best Interest) when they recommended and sold bond offerings from GWG Holdings, an unrated, high-risk debt security to retirees and other… [read post]
2 Feb 2022, 9:06 pm
The shared gains and internalized losses sure looks like an investment partnership there. [read post]
5 Feb 2014, 4:30 pm
The Dodd-Frank provisions are but one example of an emerging trend in international securities law. [read post]
18 Dec 2019, 1:31 pm
The Securities and Exchange Commission today charged MetLife, Inc. with violating the books and records and internal accounting controls provisions of the federal securities laws relating to two errors in its accounting for reserves associated with its…Read the Full Press ReleaseHave a securities law question? [read post]
23 Sep 2021, 8:41 am
International Cooperation on AML/CFT Measures for Virtual Currencies and Service Providers The international cooperation against ransomware is quite dynamic. [read post]
23 Sep 2021, 8:41 am
International Cooperation on AML/CFT Measures for Virtual Currencies and Service Providers The international cooperation against ransomware is quite dynamic. [read post]
31 Jul 2022, 10:00 pm
Given its existing limitations, the Committee on Foreign Investment in the United States is ready for its next evolution—not a tweaking around the edges of an existing process that continues to perpetuate limitations to the flexibility and certainty essential to managing a range of interests, but a foundational shift from a “committee” to a statutorily established “commission” comparable to others operating at the federal level, such as the Federal Communications… [read post]
31 Jul 2022, 10:00 pm
Given its existing limitations, the Committee on Foreign Investment in the United States is ready for its next evolution—not a tweaking around the edges of an existing process that continues to perpetuate limitations to the flexibility and certainty essential to managing a range of interests, but a foundational shift from a “committee” to a statutorily established “commission” comparable to others operating at the federal level, such as the Federal Communications… [read post]
31 Jul 2022, 10:00 pm
Given its existing limitations, the Committee on Foreign Investment in the United States is ready for its next evolution—not a tweaking around the edges of an existing process that continues to perpetuate limitations to the flexibility and certainty essential to managing a range of interests, but a foundational shift from a “committee” to a statutorily established “commission” comparable to others operating at the federal level, such as the Federal Communications… [read post]
31 Jul 2022, 10:00 pm
Given its existing limitations, the Committee on Foreign Investment in the United States is ready for its next evolution—not a tweaking around the edges of an existing process that continues to perpetuate limitations to the flexibility and certainty essential to managing a range of interests, but a foundational shift from a “committee” to a statutorily established “commission” comparable to others operating at the federal level, such as the Federal Communications… [read post]
31 Jul 2022, 10:00 pm
Given its existing limitations, the Committee on Foreign Investment in the United States is ready for its next evolution—not a tweaking around the edges of an existing process that continues to perpetuate limitations to the flexibility and certainty essential to managing a range of interests, but a foundational shift from a “committee” to a statutorily established “commission” comparable to others operating at the federal level, such as the Federal Communications… [read post]
