Search for: "Working Group on Securities Disclosure Authority"
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1 Nov 2022, 6:32 am
My praises to Professor Becht for putting together such an esteemed group. [read post]
3 Sep 2013, 8:06 am
In Germany, the Federal Office of Criminal Investigation, the Bundeskriminalamt (BKA), has broad authority in investigations that concern national security or terrorism. [read post]
6 Apr 2015, 6:00 am
In Gioe’s 14 year career he has worked at 13 different firms. [read post]
12 Jun 2014, 12:10 pm
Source: “North Carolina Senate outlaws disclosure of fracking fluid secrets,” by Mica Rosenberg, published at Reuters.com. [read post]
27 Jul 2009, 5:26 am
They reveal that GPs who work on their own are six times more likely to be summoned to a disciplinary hearing than GPs working in group practices… The GMC figures, which Newsnight has obtained, show that 17 so-called 'single-handed' GPs and 67 GPs working in group practices came up in front of a 'fitness to practice' hearing in the last year. [read post]
14 Feb 2023, 6:51 am
The report also contains these other suggestions for Congress that NASAA believes will help the capital markets:Congress should update and enhance the SEC’s civil penalties statute by increasing the statutory limits on civil monetary penalties, directly linking the size of these penalties to the scope of harm and associated investor losses, and substantially raising the financial stakes for repeat securities law violators.Congress should require the federal financial regulators to… [read post]
2 Mar 2008, 9:32 am
What law authorizes financial damages? [read post]
28 Jan 2020, 1:38 pm
As part of this work, she has worked extensively on employee benefit communication and other employee benefit plan legislative and regulatory policy, design, compliance and enforcement including testifying to the EBSA Advisory Council on Employee Welfare and Pension Benefit Plans in on the effectiveness of employee benefit plan disclosures during 2017 hearings on on reducing the burdens and increasing the effectiveness of ERISA mandated… [read post]
8 Jun 2015, 8:42 am
These disclosures can include IRS tax liens, judgments, and even criminal matters. [read post]
17 Apr 2018, 8:00 am
If you work at a typical company, employee actions and inadvertent present the greatest threat to the security of your data. [read post]
1 Sep 2024, 10:48 am
I am directing my Administration to work with the bill’s author and the Legislature next year to address these issues. [read post]
31 Jul 2023, 10:40 am
LinkedIn SLP Health Care Risk Management & Operations Group, HR & Benefits Update Compliance Group, and/or Coalition for Responsible Health Care Policy. [read post]
24 Jan 2024, 1:47 pm
The Financial Industry Regulatory Authority (FINRA) operates the largest dispute resolution forum in the securities industry. [read post]
13 Aug 2024, 10:00 am
Learn about the 2000+ leading attorney authors contributing to our 26 practice areas in the Practical Guidance Author Center . [read post]
25 May 2017, 12:52 pm
Lawyers aren’t known as the most forward-thinking, technologically savvy group. [read post]
25 Mar 2024, 10:00 pm
Learn about the 2000+ leading attorney authors contributing to our 26 practice areas in the Practical Guidance Author Center . [read post]
16 May 2008, 12:43 pm
`(B) The title of the infringed work, any alternative titles of the infringed work known to the owner of the infringed copyright, or if the work has no title, a description in detail sufficient to identify it. [read post]
10 Aug 2023, 9:31 am
According to the SEC on March 17, the regulator has censured and fined HSBC Securities $725,000 over alleged failures in disclosure of conflicts of interest in its wrap program. [read post]
25 Feb 2010, 3:38 pm
The U.S. military monitored Planned Parenthood and a white supremacist group as part of the government’s security preparations for the 2002 Olympics in Utah, according to new documents released by the Department of Defense. [read post]
31 Oct 2019, 5:55 pm
I welcome guest post submissions from responsible authors on topics of interest to this blog’s readers. [read post]
