Search for: "Securities Investor Protection Corporation"
Results 2441 - 2460
of 4,476
Sort by Relevance
|
Sort by Date
17 Mar 2016, 11:08 am
Firms must adopt written policies to protect their clients’ private information and they need to anticipate potential cybersecurity events and have clear procedures in place rather than waiting to react once a breach occurs. [read post]
15 Mar 2016, 6:02 am
Schwebel, The outlook for the continued vitality, or lack thereof, of investor–State arbitration Francisco González de Cossío, Enforcement of annulled awards: towards a better analytical approach Berk Demirkol, Interpretation of the dispute settlement clause in Turkish investment treaties with Turkic States Kateryna Bondar, Allocation of costs in investor-State and commercial arbitration: towards a harmonized approach Stephanie Mullen & Elizabeth… [read post]
14 Mar 2016, 2:56 am
However, Carlson, on behalf of himself, recruited Donald Imdieke and Mike Froseth, non-bank customers, as investors, who provided $80,000 and $405,000 check that were made payable to Avon State Bank. [read post]
13 Mar 2016, 6:07 am
Investors who have suffered losses may be able recover their losses through securities arbitration. [read post]
11 Mar 2016, 6:14 am
Securities & Exchange Commission, on Saturday, March 5, 2016 Tags: Asset-backed securities, Credit risk, Dodd-Frank Act, EU, Europe, International governance, Investor protection,Risk management, Risk oversight, SEC, Securities Regulation, Securitization, Transparency NYSE Rule on Reporting by Foreign Private Issuers Posted by Stuart H. [read post]
9 Mar 2016, 4:01 pm
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]
5 Mar 2016, 6:38 am
This strengthens the case for the application of international law and governance norms as a basis on which investors ought to evaluate their investment decisions. [read post]
3 Mar 2016, 6:00 am
Other developments The Ontario Securities Commission recently adopted Policy 15-601 – Whistleblower Program to encourage individuals to report information on serious securities- or derivatives-related misconduct to the Commission or, where appropriate in the circumstances, through an internal compliance and reporting mechanism to protect investors. [read post]
3 Mar 2016, 5:43 am
The rights and interests of the state, workers, creditors, and investors should be protected (listed in this order). [read post]
1 Mar 2016, 3:20 pm
Dax White is the managing partner of the White Law Group, a national securities fraud, securities arbitration and investor protection law firm with offices in Chicago, Illinois and Vero Beach, Florida. [read post]
29 Feb 2016, 4:43 pm
This past year was an eventful one in the corporate and securities litigation arena, with the U.S. [read post]
26 Feb 2016, 6:06 am
Securities & Exchange Commission, on Tuesday, February 23, 2016 Tags: Asset management, Broker-dealers, Capital markets, Compliance and disclosure interpretation, Crowdfunding,Disclosure, Dodd-Frank Act, Equity capital, Executive Compensation, Financial Regulation, Investor protection, JOBS Act,SEC, SEC enforcement, SEC rulemaking, Securities enforcement, Securities Regulation, Transparency What the 2016 BlackRock Letter Means for Shareholder… [read post]
24 Feb 2016, 4:33 pm
Several recent data breach cases in India display lack of maturity in terms of Cyber Security on the part of corporates. [read post]
23 Feb 2016, 7:36 am
No. 3-16361, for violation of their duty to file suspicious activity reports (“SARs”); and its action against a current and former unit of E*Trade Financial Corporation, Admin. [read post]
22 Feb 2016, 5:52 pm
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]
22 Feb 2016, 4:36 pm
It is important to note that if investors suffer losses on securities found to contain inaccurate or incomplete information, investors do have substantial rights of recovery against the company (including its directors and officers) and the distributors of the securities. [read post]
22 Feb 2016, 5:00 am
By way of background, in August 2014, in response to the alleged role of flawed credit ratings on asset-backed and other securities in the financial crisis, the SEC adopted Dodd-Frank-mandated rules aimed at improving the quality of credit ratings by addressing, e.g., agency internal controls, conflicts of interest, procedures designed to protect the integrity of rating methods, and their transparency/accountability. [read post]
21 Feb 2016, 6:59 pm
As is now a frequent topic of discussion with bank officials, there are products available in the marketplace that provide individuals with CMP protection. [read post]
18 Feb 2016, 7:15 am
The White Law Group is a national securities arbitration, securities fraud, and investor protection law firm with offices in Chicago, Illinois and Vero Beach, Florida. [read post]
16 Feb 2016, 8:37 am
A company may choose to do a corporate dissolution when it doesn’t need bankruptcy protection (and prefers not to file bankruptcy) but wants a formal, legal wind down of the corporate entity. [read post]
