Search for: "International Securities Exchange"
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1 Mar 2018, 8:00 am
Supreme Court held that the anti-retaliation provision of the Dodd-Frank Act (DFA) protects only employees who complain to the Securities and Exchange Commission (SEC) and not those who make only internal complaints. [read post]
8 Sep 2020, 2:32 pm
On July 17, 2020, the Securities and Exchange Commission (SEC), brought fraud charges against David Hu, the co-founder and chief investment officer of International Investment Group (IIG), in Manhattan federal district court. [read post]
25 Mar 2011, 1:05 am
The China Insurance Regulatory Commission (CIRC) has revealed that Shanghai has applied to the central government for approval to establish an insurance exchange, as part of Shanghai's drive to become a major international financial hub by 2020. [read post]
25 Sep 2020, 12:49 pm
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5456/securities-industry-commentator/List Brokerage Firm Pleads Guilty To Facilitating Elder Fraud Schemes / Corporate Guilty Plea Follows Guilty Plea and Indictment of Executives (DOJ Release)Owner of Bitcoin Exchange Convicted of Racketeering Conspiracy for Laundering Millions of Dollars in International Cyber Fraud… [read post]
14 May 2007, 5:15 am
For more on this topic, go to Corporate Governance, the Securities and Exchange Commission, and the Limits of DisclosureThese efforts arose from the Agency’s growing understanding of the connection between accurate disclosure and internal accountability. [read post]
31 Oct 2013, 1:23 pm
He has worked as a consultant and expert witness on a wide variety of matters, including engagements in connection with securities litigations and arbitrations for the New York State Attorney General, the World Bank, the Organization of American States, the United States Agency for International Development, the Securities and Exchange Commission, and several prominent securities exchanges. [read post]
8 Feb 2024, 1:02 pm
The disciplinary order found Kennedy in violation of several securities regulations, including Section 10(b) of the Securities Exchange Act of 1934, Regulation Best Interest, and various FINRA rules. [read post]
24 May 2010, 7:18 pm
The British Institute of International and Comparative Law will host a conference on Transnational Securities Class Actions on July 6th, 2010. [read post]
23 Dec 2008, 4:49 pm
The Securities and Exchange Commission filed Foreign Corrupt Practices Act books and records and internal controls charges against Fiat S.p.A. and CNH Global N.V. in the U.S. [read post]
23 Dec 2008, 4:49 pm
The Securities and Exchange Commission filed Foreign Corrupt Practices Act books and records and internal controls charges against Fiat S.p.A. and CNH Global N.V. in the U.S. [read post]
12 Apr 2021, 8:19 am
The summary notes that there was an exchange of views in relation to: The importance of international standards and their consistent application. [read post]
3 Oct 2011, 12:30 pm
Berger was indicted for conspiracy to commit securities fraud and wire fraud for his role in an international pump and dump stock scheme, the Securities and Exchange Commission, or SEC, has settled failure to supervise charges against Bergerandrsquo;s former employer, Gilford Securities Inc. of New York. [read post]
17 Sep 2020, 1:09 pm
The whistleblowers raised concerns internally…Read the Full Press ReleaseHave a securities law question? [read post]
3 Nov 2020, 10:09 am
The whistleblower internally reported…Read the Full Press ReleaseHave a securities law question? [read post]
6 Jul 2020, 2:23 pm
Department of Homeland Security plans to publish the procedures and responsibilities... [read post]
12 Mar 2019, 1:20 pm
Section 15(a)(1) of the Securities Exchange Act of 1934 (the "Exchange Act") makes it unlawful for any "broker" or "dealer" to use interstate commerce to "effect any transactions in, or induce or attempt to induce the purchase or sale of, any security. [read post]
8 Dec 2022, 6:06 am
They, however, also served as judicial pronouncements that built upon an international legal system that rejects head of state immunity for international crimes before international criminal tribunals. [read post]
11 Oct 2021, 9:01 am
Securities and Exchange Commission (SEC) and provided internal Facebook documents to Congress and to the press. [read post]
24 Feb 2010, 11:23 am
The Securities and Exchange Commission said Wednesday that it still hoped to approve the move of American companies to international accounting standards by the end of 2011, but it laid down a series of conditions before it would approve the shift. [read post]
3 Nov 2010, 1:25 pm
The Securities and Exchange Commission today moved to implement a new whistleblower program, one that includes lavish new rewards and expanded protection, but that has also triggered concerns that it will decimate internal compliance programs. [read post]
