Search for: "Securities & Exchange Commission v. Topping"
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24 Jul 2014, 4:34 am
Last year, we discussed how Judge Leon’s questioning of a proposed settlement between IBM and the Securities and Exchange Commission for alleged books and records violations possibly contributed to an expanded investigation of the Company, and may have complicated the enforcement picture. [read post]
25 Jul 2011, 1:55 am
National Australia Bank, Section 10 of the ’34 Act and Rule 10b-5 apply to “transactions in securities listed on domestic exchanges, and domestic transactions in other securities. [read post]
26 Jan 2024, 6:00 am
Coinbase has asked the court to dismiss the Securities and Exchange Commission’s lawsuit alleging the largest U.S. crypto exchange is flouting its rules. [read post]
1 Aug 2022, 12:11 pm
Channel 4 has announced that it has commissioned a Docu-drama of the case. [read post]
15 Dec 2017, 9:01 am
As we head into 2018, we have put together this checklist and update to help managers stay on top of the business and regulatory landscape for the coming year. [read post]
15 Dec 2017, 9:01 am
As we head into 2018, we have put together this checklist and update to help managers stay on top of the business and regulatory landscape for the coming year. [read post]
23 Oct 2017, 4:22 pm
For example, the Securities and Exchange Commission and the New York Department of Financial Services have both announced their intentions to hold directors and officers to a responsible standard when it comes to preventing and responding to cybersecurity incidents. [read post]
23 Oct 2017, 4:22 pm
For example, the Securities and Exchange Commission and the New York Department of Financial Services have both announced their intentions to hold directors and officers to a responsible standard when it comes to preventing and responding to cybersecurity incidents. [read post]
1 Oct 2021, 4:00 am
“Not since Bush v. [read post]
20 Sep 2024, 3:00 am
Since the fall of Roe 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]
13 Jan 2016, 5:05 pm
The government response was the enactment of the Securities and Exchange Act of 1934, which created the Securities and Exchange Commission (SEC) and made financial reporting obligatory for public corporations. [read post]
22 Jan 2016, 6:19 am
The Securities and Exchange Commission (SEC) found former State Street Vice President Vincent DeBaggis entered into an agreement with Amer Ahmad, then Ohio deputy treasurer, to make illegal cash payments and political contributions. [read post]
5 Sep 2016, 4:52 pm
The first case was heard by the High Court in Bangura v Loughborough University [2016] EWHC 1503 (QB). [read post]
2 Oct 2023, 9:50 am
Department of Justice and the Federal Trade Commission issued new Draft Merger Guidelines. [read post]
17 Aug 2022, 5:00 am
The Federal Trade Commission (FTC) launched one of the most ambitious rulemakings in agency history Aug. 11, with its 3-2 vote to initiate Advance Notice of Proposed Rulemaking (ANPRM) on commercial surveillance and data security. [read post]
4 Oct 2011, 3:28 pm
Without the blessing conferred by the auditor’s letter or the rating agency’s evaluation, the corporation will have a more difficult time selling securities or remaining listed on a securities exchange. [read post]
3 Nov 2021, 7:05 am
In a press release issued by the OCC in connection with the Report, Acting Comptroller Hsu characterizes the Report as “identif[ying] the risk of stablecoin runs as the top concern. [read post]
3 Nov 2024, 9:05 pm
Department of Health and Human Services (HHS), such as the Department of Education, Department of Labor, Federal Aviation Administration, and Securities Exchange Commission. [read post]
