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15 Dec 2017, 9:01 am
On an annual basis, the CCO of an RIA must conduct a review of the adviser’s compliance policies and procedures. [read post]
18 Dec 2023, 2:48 pm
On November 20, 2023, the Securities and Exchange Commission (“SEC”) charged Payward Inc. and Payward Ventures Inc., together known as Kraken, with operating Kraken’s trading platform as an unregistered securities exchange, broker, dealer, and clearing agency. [read post]
8 Dec 2021, 7:27 am
Managers should ensure that all trade errors are properly addressed pursuant to the manager’s trade errors policies by the end of the year. [read post]
8 Dec 2021, 11:27 am
Managers should ensure that all trade errors are properly addressed pursuant to the manager’s trade errors policies by the end of the year. [read post]
31 Mar 2013, 9:36 pm
Most of their courts have their own system for addressing attorney misconduct. [read post]
31 Dec 2019, 8:13 am
Statements must be sent to investors in the fund within 120 days after the fund’s fiscal year end. [read post]
1 May 2022, 4:30 pm
Naval Academy, said raises concerns that everyone would have to authenticate their identity with Twitter, Wired reports. [read post]
30 Aug 2018, 4:44 pm
-dollar payments to flow through the U.S. financial system in furtherance of a foreign bribery scheme. [read post]
21 Oct 2018, 9:02 pm
K. [read post]
6 Dec 2009, 9:11 pm
House of Raeford Farms Inc. and its plant manager, Gregory Steenblock, were both charged with 14 counts of violating the Clean Water Act. [read post]
2 Dec 2020, 2:45 am
Popular in the lay imagination, the public corruption trial is at the intersection of law, politics, and the media, a place where power, money, and ethics are put on display in a manner peculiar in the American judicial system. [read post]
12 Dec 2019, 9:02 pm
The right to kill an argali is controlled by a permitting system that experts say is mostly based on money, connections, and politics. [read post]
22 Dec 2020, 9:43 am
Note that for SEC RIA’s to private investment vehicles, a “client” for purposes of this rule refers to the vehicle(s) managed by the RIA and not the underlying investors. [read post]
5 Jul 2023, 3:51 am
Chewey, Inc., OSHRC Docket No. 19-0868, 2022 WL 1009607 (February 22, 2022). [read post]
4 Oct 2019, 3:00 am
Ericsson has said the probe related to a payment system used to win contracts in the 1990s. [read post]
28 May 2006, 5:00 pm
Americans have not historically been very willing to support in blood and treasure - and, today, attention span - long running wars or foreign policy agendas that do not seem to them both necessary to the national survival and broadly just.David Giacalone at f/k/a presents:haiku moments - memorial day 2006vietnam memorial --a tear in theold protestor's eyedagosanPhoto Credit: Susan Scott Teachey, ON-Q Design, Inc., from the Rolling Thunder Motorcycle Rally in support… [read post]
13 Jan 2023, 3:00 am
Here Are the K Street Lobbyists Closest to McCarthy Yahoo News – Karl Evers-Hillstrom (The Hill) | Published: 1/11/2023 U.S. [read post]
2 Feb 2010, 11:25 am
5 - David Harlow's Health Care Law Blog looks at the GOP's health reform plan. [read post]
2 Feb 2010, 11:25 am
5 - David Harlow's Health Care Law Blog looks at the GOP's health reform plan. [read post]
16 Apr 2018, 4:48 pm
Securities and Exchange Commission (SEC) charged two co-founders of Centra Tech, Inc., (Centra) a purported financial services start-up, with orchestrating a fraudulent initial coin offering (ICO), a term that is meant to describe the offer and sale of digital assets issued and distributed on a blockchain, that raised more than $32 million from thousands of investors. [read post]
