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19 May 2020, 6:32 pm
The publication noted that OCIE has published eight risk alerts related to cybersecurity. [read post]
30 Jan 2019, 3:23 pm
., high net worth individuals, banks, insurance companies, brokers, and trusts). [read post]
4 Sep 2014, 3:19 am
[ix] FINRA’s targeted examination letters seek very similar information as the OCIE cybersecurity initiative. [read post]
19 Apr 2013, 3:46 am
- OCIE is budgeted $347 million, a 31% increase. [read post]
6 Apr 2023, 10:19 am
Meet the Money 2023 Participants Access Point Financial Accor Aimbridge Hospitality American Investment Migration Anderson Hospitality Consultants APICII Arcade Capital Ashford Asia Pacific Capital Company Atlas Hospitality Group Autocamp Balboa Inn Hotel Bank OZK Bayview Asset Management Bergstrom Capital Advisors The Blackhawk Real Estate Company BlackRidge Group BLLA Bosworth Hospitality Partners Caliber Hospitality California Hotel & Lodging Association California Lodging Investment… [read post]
16 Jan 2020, 10:43 pm
He also forfeited $1 billion in personal assets, including bank accounts, aircraft, real estate, vehicles, horses, and watches. [read post]
17 Nov 2015, 7:34 am
“Why hasn’t the SEC put any bank executives in jail for crashing the economy? [read post]
2 May 2012, 1:12 pm
Fraud First SEC case involving IA and social media was Anthony Fields http://www.sec.gov/news/press/2012/2012-3.htm Used LinkedIn to make multiple fraudulent offers of fictitious bank guarantees That uncovered lots of other deception Social Media and Employees SEC Rules SEC National Examination Risk Alert – Investment Adviser Use of Social Media http://www.sec.gov/about/offices/ocie/riskalert-socialmedia.pdf Ban on testimonials Linkedin Recommendations could act as a… [read post]
27 Oct 2017, 2:16 am
The People’s Bank of China (“PBoC”), China’s central bank and financial regulator, announced an immediate ban of ICOs within China. [read post]
21 Dec 2011, 7:41 am
Further, he maintained monthly contact with those siblings in India and with various in-laws, maintained three bank accounts in India and owned property in India, and held an Overseas Citizen of India (OCI) card granting him certain rights in India. [read post]
27 Dec 2011, 4:34 pm
Further, he maintained monthly contact with those siblings in India and with various in-laws, maintained three bank accounts in India and owned property in India, and held an Overseas Citizen of India (OCI) card granting him certain rights in India. [read post]
17 Nov 2017, 6:00 am
That bank is now cooperating with the plaintiffs in the massive civil action, and is providing an in-depth look into how Wall Street allegedly conspired to rig Treasury bond trades. [read post]
15 Apr 2015, 11:07 am
On October 1, 1994, Greenpoint Savings Bank assigned the Mortgage to OCI Mortgage Corporation. [read post]
22 Sep 2011, 3:46 pm
Rodgin Cohen, god of banking M&A.Sullivan & Cromwell is a gigantic global law firm, but interviewing attorneys are still asked to handpick colleagues who might be good callback interviewers for the applicant (and who presumably won’t come across as “total a**holes”). [read post]
27 Jun 2010, 12:58 pm
The hiring cycle stops for no man, though, and soon OCI will be upon us (or move to Sweden if you don’t want to wait – firms are hiring over there). [read post]
9 Mar 2018, 6:06 am
Regulating Proxy Advisors is Anticompetitive, Counterproductive, and Possibly Unconstitutional Posted by Nell Minow, ValueEdge Advisors, on Friday, March 2, 2018 Tags: Boards of Directors, Corporate Governance Reform and Transparency Act, Institutional Investors, ISS, Proxy advisors, Securities regulation, Shareholder voting The Misuse of Tobin’s Q Posted by Robert Bartlett (UC Berkeley School of Law) and Frank Partnoy (University of San Diego… [read post]
18 Nov 2016, 8:31 am
While at OCIE in 2011, Mr. [read post]
4 Sep 2020, 6:31 am
Schwenkel, and Andrea Gede-Lange, on Tuesday, September 1, 2020 Tags: Acquisition agreements, Adverse effects, Delaware cases, Delaware law, Liability standards, Merger litigation, Mergers & acquisitions, Private equity OCIE Publishes Risk Alert Regarding COVID19-Related Compliance Risks and Considerations Posted by Jessica Forbes, Stacey Song, and Joanna D. [read post]
21 Nov 2011, 4:15 am
Her latest was a Senate Banking subcommittee hearing last week where all six Division Directors and the head of OCIE gave updates about their activities. [read post]
5 Feb 2020, 3:00 pm
BANKING J. [read post]
