Search for: "Securities Investor Protection Corporation"
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26 Sep 2017, 9:01 pm
A robo-adviser is a machine that seems to offers investment advice with respect to an investor’s financial assets, and orders the performance of its advice by securities trades of sales and acquisitions. [read post]
25 Sep 2017, 4:00 am
Therefore, companies doing business with digital currencies with U.S. investors might be in violation of U.S. securities laws and may be required to register with the SEC and to comply with applicable securities regulations. [read post]
22 Sep 2017, 9:02 am
Somers May Kill Corporate Compliance Somers v. [read post]
22 Sep 2017, 9:02 am
Somers May Kill Corporate Compliance Somers v. [read post]
22 Sep 2017, 6:55 am
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm. [read post]
20 Sep 2017, 2:50 am
The Securities and Futures Commission (SFC) recently issued two circulars to licensed corporations engaged in asset management business. [read post]
19 Sep 2017, 2:59 pm
Exchanges were also directed to come up with a plan for the orderly return of funds to investors. [read post]
19 Sep 2017, 2:59 pm
Exchanges were also directed to come up with a plan for the orderly return of funds to investors. [read post]
19 Sep 2017, 7:15 am
However, as China takes a larger role as a major defender of globalization, these reforms will be necessary to protect companies, investors, Chinese and global citizens from the possibility of fraudulent activities, and to ensure a smooth functioning of transnational markets. [read post]
15 Sep 2017, 5:57 pm
All companies need robust anti-corruption measures and practices to protect their reputations and the interests of their stakeholders. [read post]
15 Sep 2017, 7:08 am
The advisory’s overall message, as stated by the MSRB’s Executive Director Lynnette Kelly, is to encourage municipal securities issuers and their financial professionals to protect the integrity of the municipal market by making full and fair disclosures to all investors. [read post]
14 Sep 2017, 6:03 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Vero Beach, Florida. [read post]
11 Sep 2017, 9:07 am
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Vero Beach, Florida. [read post]
8 Sep 2017, 10:59 am
Many of these for-profit colleges, like the University of Phoenix, DeVry University and Corinthian Colleges, are owned by publicly traded companies subjecting them to charges that wrongdoing disclosed by whistleblowers has resulted in fraud against investors and securities violations. [read post]
4 Sep 2017, 2:20 pm
To the extent this defendant-friendly approach actually materializes, it could prove to provide a significant boost to corporate litigants and their D&O insurers. [read post]
1 Sep 2017, 8:48 am
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Vero Beach, Florida. [read post]
1 Sep 2017, 6:42 am
SEC Staff Examines Impact of Regulation on Capital Formation and Market Liquidity Posted by Ning Chiu, Davis Polk & Wardwell LLP, on Friday, August 25, 2017 Tags: Capital formation, Capital markets, Dodd-Frank Act, Equity offerings, Financial regulation, Investor protection, IPOs, JOBS Act, Liquidity, Regulation D, SEC, Securities enforcement, Securities regulation ISS and the Removal of… [read post]
30 Aug 2017, 7:11 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Vero Beach, Florida. [read post]
29 Aug 2017, 6:11 am
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Vero Beach, Florida. [read post]
25 Aug 2017, 12:56 pm
And with defaults in the sub-prime mortgages that were to provide the income stream and principal protection for holders of interests in mortgage backed securities, many investors lost substantial portions of their life savings. [read post]
