Search for: "Securities & Exchange Commission v. Topping"
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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]
19 Apr 2024, 9:27 am
The Securities and Exchange Commission (“SEC”) approved 11 spot Bitcoin exchange-traded funds (“ETFs”) on January 10, 2024, marking a historic moment in the crypto industry. [read post]
13 Dec 2024, 1:18 pm
Securities and Exchange Commission’s (the “SEC”) Division of Examinations (the “Division”) has published its Examination Priorities for the upcoming fiscal year 2025. [read post]
28 Dec 2014, 9:30 pm
Securities and Exchange Commission recently adopted a final rule designed to reduce the risk of a run on money market funds and to limit potential contagion if a run does occur. [read post]
19 Dec 2022, 2:31 am
The top five countries who have detained the most journalists are China (110), Myanmar (62), Iran (47), Vietnam (39) and Belarus (31). [read post]
