Search for: "US Securities and Exchange Commission"
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3 Apr 2024, 12:28 pm
This proposal stipulates that freelancers may only be subjected to noncompete agreements if they receive compensation in exchange. [read post]
2 Apr 2024, 1:03 pm
Securities and Exchange Commission (“SEC”) has pursued investigations of insider trading involving over sixty parties. [read post]
1 Apr 2024, 3:12 pm
The Securities Exchange Commission filed a parallel action for related conduct on the same day the CFTC initiated its enforcement action, but resolved its claims against Empire Consulting in 2023. [read post]
1 Apr 2024, 11:51 am
Enforcing the FCPA is a perennial priority for DOJ and the Securities and Exchange Commission (SEC), the agencies with primary responsibility for enforcing the statute. [read post]
1 Apr 2024, 6:44 am
It prohibits retaliation against employees who engage in certain activities, including: – Assisting or participating in an internal investigation of suspected wrongdoing under federal fraud statutes or securities regulations; – Assisting or participating in an investigation by the Securities and Exchange Commission (SEC), Congress, or another federal agency involving alleged fraud or securities violations; and – Filing a complaint with… [read post]
1 Apr 2024, 6:30 am
Summary On March 6, 2024, the Securities and Exchange Commission (“SEC”) in a 3-to-2 vote[1] adopted its landmark climate-related disclosure rules (the “Final Rules”), which will significantly expand the climate-related information that U.S. public companies and foreign private issuers (other than Canadian issuers reporting on Form 40-F) will be required to disclose in their periodic reports and registration statements.[2] Our March 7, 2024… [read post]
1 Apr 2024, 6:30 am
Summary On March 6, 2024, the Securities and Exchange Commission (“SEC”) in a 3-to-2 vote[1] adopted its landmark climate-related disclosure rules (the “Final Rules”), which will significantly expand the climate-related information that U.S. public companies and foreign private issuers (other than Canadian issuers reporting on Form 40-F) will be required to disclose in their periodic reports and registration statements.[2] Our March 7, 2024… [read post]
30 Mar 2024, 5:14 am
Like the EPA in Sarinsky’s piece, agencies should follow the good example of the Securities and Exchange Commission in SEC v. [read post]
29 Mar 2024, 10:07 am
Bankman-Fried also faces charges brought by the US Securities and Exchange Commission (SEC), which alleges that Bankman-Fried wrongly redirected FTX customer funds to his private crypto hedge fund called Alameda Research LLC. [read post]
29 Mar 2024, 5:22 am
Most recently, Gary Gensler, the Chair of the Securities and Exchange Commission (SEC), raised concerns about the overreliance on AI in financial decision-making. [read post]
29 Mar 2024, 4:00 am
Yahoo News – Zach Montellaro (Politico) | Published: 3/27/2024 The FEC wants to allow candidates to use campaign funds for a wide range of security measures, an expansion of what campaign accounts can be used for amid a heated political environment. [read post]
28 Mar 2024, 9:05 pm
In her introduction, the DAG referenced the historical use of whistleblower programs at the federal law enforcement level (e.g., Securities and Exchange Commission and Commodity Futures Trading Commission programs authorized under Dodd-Frank as well as similar programs implemented by the Internal Revenue Service and the Financial Crimes Enforcement Network). [read post]
28 Mar 2024, 9:01 pm
Treasury Department, issued a Notice of Proposed Rulemaking (“Proposed Rule”) that would extend certain anti-money laundering program requirements to: investment advisers registered (“RIAs”) with the Securities and Exchange Commission (“SEC”); and investment advisers that report to the SEC as exempt reporting advisers (“ERAs”). [read post]
28 Mar 2024, 10:04 am
This is in light of the US Securities and Exchange Commission announcing its move to T+1 with effect from 28 May 2024 which followed the earlier move to T+1 in India and China’s operation of T+0 for many years. [read post]
27 Mar 2024, 5:25 pm
Securities and Exchange Commission (SEC) is pursuing enforcement based on a novel theory of “shadow insider trading. [read post]
27 Mar 2024, 1:28 pm
Securities and Exchange Commission is actively probing technology and telecom companies on how they responded to the SolarWinds cyber attack in 2020, according to Bloomberg. [read post]
26 Mar 2024, 9:50 pm
” The complaint alleges that the defendants violated Sections 10(b) and 20(a) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. [read post]
25 Mar 2024, 10:00 pm
The US Securities and Exchange Commission (SEC) completed a historic rulemaking on March 6, 2024 by adopting new rules requiring public companies to disclose certain climate-related information in registration statements and annual reports. [read post]
25 Mar 2024, 10:00 pm
The US Securities and Exchange Commission (SEC) completed a historic rulemaking on March 6, 2024 by adopting new rules requiring public companies to disclose certain climate-related information in registration statements and annual reports. [read post]
25 Mar 2024, 10:00 pm
The US Securities and Exchange Commission (SEC) completed a historic rulemaking on March 6, 2024 by adopting new rules requiring public companies to disclose certain climate-related information in registration statements and annual reports. [read post]
