Search for: "Securities and Exchange Commission v. Ma"
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3 Apr 2024, 9:01 pm
As is customary, my remarks this morning are in my official capacity as Director of the Securities and Exchange Commission’s Division of Enforcement, and do not necessarily reflect the views of the Commission, the Commissioners, or other members of the staff. [read post]
4 Mar 2024, 5:56 pm
" (NSBA v. [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]
6 Dec 2023, 2:35 am
The Hong Kong Stock Exchange (HKEX) has imposed D&I requirements on its members. [read post]
19 Oct 2023, 9:05 pm
The Securities and Exchange Commission (SEC) adopted new rules to provide greater transparency around short selling, an activity where investors bet that a stock’s price will fall. [read post]
28 Jul 2023, 7:34 am
Visa said in a regulatory filing made Wednesday with the Securities and Exchange Commission (SEC) that the DOJ sought more information about debit cards and other payment methods, according to the report. . . . [read post]
29 Jun 2023, 10:26 am
Securities and Exchange Commission (SEC), the SEC Whistleblower Reform Act of 2023 “will help ensure that the SEC Whistleblower Program remains an indispensable tool in the Commission’s efforts to police wrongdoing and protect investors. [read post]
16 Mar 2023, 1:36 pm
On March 15, Senators Chuck Grassley (R-IA) and Elizabeth Warren (D-MA) introduced the SEC Whistleblower Reform Act of 2023 in order to further strengthen the highly successful Securities and Exchange Commission (SEC) Whistleblower Program. [read post]
15 Dec 2022, 8:00 am
Although the project is being conducted in a purely experimental fashion using simulated data, the pilot can be seen as one of the first steps taken by a governmental agency towards creating a central bank digital currency.SEC v. [read post]
15 Dec 2022, 4:00 am
Although the project is being conducted in a purely experimental fashion using simulated data, the pilot can be seen as one of the first steps taken by a governmental agency towards creating a central bank digital currency.SEC v. [read post]
23 Nov 2022, 5:04 pm
McGovern (D-MA), Chair and Cochair of the bipartisan and bicameral Congressional-Executive Commission on China (CECC), issued today the Commission’s 2022 Annual Report on human rights conditions and rule of law developments in the People’s Republic of China (PRC). [read post]
31 Mar 2022, 2:52 pm
On March 31, Senators Chuck Grassley (R-IA) and Elizabeth Warren (D-MA) introduced the SEC Whistleblower Reform Act of 2022 in order to further strengthen the highly successful Securities and Exchange Commission (SEC) Whistleblower Program. [read post]
24 Jan 2022, 6:30 am
Securities and Exchange Commission (“SEC”) and if the Biden Administration’s Build Back Better Act makes further headway. [read post]
8 Dec 2021, 11:27 am
On an annual basis, Securities and Exchange Commission (“SEC”) registered investment advisers (“SEC RIAs”) are required to provide natural person clients with a copy of the firm’s privacy policy if: (i) the SEC RIA has disclosed nonpublic personal information other than in connection with servicing consumer accounts or administering financial products; or (ii) the firm’s privacy policy has changed. [read post]
8 Dec 2021, 7:27 am
On an annual basis, Securities and Exchange Commission (“SEC”) registered investment advisers (“SEC RIAs”) are required to provide natural person clients with a copy of the firm’s privacy policy if: (i) the SEC RIA has disclosed nonpublic personal information other than in connection with servicing consumer accounts or administering financial products; or (ii) the firm’s privacy policy has changed. [read post]
1 Oct 2021, 4:00 am
“Not since Bush v. [read post]
16 Apr 2021, 8:43 am
Alibaba has come under intense scrutiny since billionaire founder Jack Ma’s public criticism of the Chinese regulatory system in October. [read post]
22 Dec 2020, 9:43 am
The Securities and Exchange Commission (the “SEC”) has provided a model form and accompanying instructions for firm privacy policies. [read post]
2 Apr 2020, 4:14 pm
In Salzberg v. [read post]
31 Dec 2019, 8:13 am
The Securities and Exchange Commission (the “SEC”) has provided a model form and accompanying instructions for firm privacy policies. [read post]
