Search for: "Fields v. Securities and Exchange Commission"
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7 Apr 2015, 2:17 am
This notice and cure process may be too long to satisfy the Department of Justice (DOJ) or Securities and Exchange Commission (SEC) during the pendency of a FCPA investigation. [read post]
7 Apr 2015, 2:17 am
This notice and cure process may be too long to satisfy the Department of Justice (DOJ) or Securities and Exchange Commission (SEC) during the pendency of a FCPA investigation. [read post]
19 Mar 2017, 9:30 pm
Securities and Exchange Commission (SEC) regulations on the basis of faulty economic analysis. [read post]
19 Mar 2017, 9:30 pm
Securities and Exchange Commission (SEC) regulations on the basis of faulty economic analysis. [read post]
23 Aug 2011, 12:46 pm
Our latest contestants in this Sisyphean legal drama are a united band of like-minded law school professors looking to utilize the Securities and Exchange Commission (SEC) as a vehicle to counter the perceived negative impact of Citizens United. [read post]
1 Aug 2022, 12:11 pm
Channel 4 has announced that it has commissioned a Docu-drama of the case. [read post]
28 Jan 2023, 7:32 am
Meanwhile, the Securities and Exchange Commission unveiled a slew of guidance and rule proposals to improve disclosures and add clarity to ESG investing, including the agency’s controversial proposal for climate risk disclosure. [read post]
24 Nov 2015, 1:21 pm
Dax White is the managing partner of the White Law Group, a national securities fraud, securities arbitration and investor protection law firm with at offices in Chicago, Illinois and Vero Beach, Florida. [read post]
10 Dec 2023, 10:30 pm
Matters changed with the Lex CEU case and subsequent ECJ judgment in Commission v Hungary, finding a violation of Article 13 CFR. [read post]
24 Oct 2018, 4:33 pm
The prohibition on unlawful insider trading levels the playing field and protects the integrity of financial markets. [read post]
13 Jul 2021, 3:00 am
California Coastal Commission, 483 U.S. 825 (1987) and Dolan v. [read post]
13 Jul 2021, 3:00 am
California Coastal Commission, 483 U.S. 825 (1987) and Dolan v. [read post]
25 Feb 2015, 7:10 am
While I do not believe the Department of Justice (DOJ) or Securities and Exchange Commission (SEC) will be sympathetic to some unsubstantiated claim along the lines of ‘I did my best with what I had’; they also made clear in the FCPA Guidance that “An effective compliance program promotes “an organizational culture that encourages ethical conduct and a commitment to compliance with the law. [read post]
25 Feb 2015, 7:10 am
While I do not believe the Department of Justice (DOJ) or Securities and Exchange Commission (SEC) will be sympathetic to some unsubstantiated claim along the lines of ‘I did my best with what I had’; they also made clear in the FCPA Guidance that “An effective compliance program promotes “an organizational culture that encourages ethical conduct and a commitment to compliance with the law. [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]
14 Nov 2017, 2:27 am
Over the last four months the Law Commission of England and Wales has been consulting on the topic of Making a Will, focusing on testamentary capacity and formalities. [read post]
14 Nov 2017, 2:27 am
Over the last four months the Law Commission of England and Wales has been consulting on the topic of Making a Will, focusing on testamentary capacity and formalities. [read post]
2 May 2019, 9:05 pm
Securities and Exchange Commission, Ford Motor Company disclosed that it is being criminally investigated by the U.S. [read post]
18 Aug 2020, 9:08 am
The Securities and Exchange Commission (“SEC”) investigated the defendant for fraudulent investment activities and obtained an order of disgorgement for more than $4 million dollars based on illegally obtained profits. [read post]
20 Jul 2011, 5:23 pm
McKessy to a "whistleblower-friendly" crowd since he became Director of the Security and Exchange Commission (SEC) Office of the Whistleblower. [read post]
