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5 Feb 2009, 9:50 am
The maluses could wipe out all previously agreed share bonuses and two thirds of all cash bonuses under stringent new rules designed to align the interests of executives and traders with those of shareholders. [read post]
26 Mar 2012, 2:00 am
High-speed firms use direct feeds from exchanges that can give them a leg up on slower traders, critics say. [read post]
22 Mar 2009, 10:16 am
The traders used the information to trade before Merrill's institutional clients' orders were placed. [read post]
26 Oct 2010, 7:22 pm
The affected blend was only distributed to a limited number of Costco retail locations in California, and Trader Joe's retail locations in California, Washington, Oregon, Nevada and Pennsylvania. [read post]
9 Jul 2019, 7:53 am
The statutory report follows a call for evidence (CfE) that ran from 7 March to 1 May 2019 that sought detailed consideration of specific aspects of the Regulations that relate to: information to be provided pre-contract by traders in a range of circumstances; rights to withdraw from and cancellation of the contract; and prevention of hidden costs. [read post]
9 Feb 2011, 5:00 am
“It is illegal for company insiders who moonlight as consultants to sell confidential information about their companies to traders, and it is equally illegal to buy that corruptly obtained information and trade on it,” said Robert Khuzami, Director of the SEC’s Division of Enforcement. [read post]
22 Apr 2010, 4:41 pm
In short selling, there is obviously an incentive for the trader to work towards keeping the price of a security down. [read post]
12 Apr 2013, 5:00 am
by Bruce Carton in Compliance Week Given that Google Glass can, among many other things, allow the user to record conversations and take photos or video, Magrann-Wells says that perhaps it is time for banks to start forcing traders to strap computers on their heads if they want to reduce the risks associated with rogue traders Stages in a Bubble by Jean-Paul Rodrigue, Dept. of Global Studies & Geography, Hofstra University [read post]
8 Feb 2008, 7:31 am
This article will examine how a rogue trader nearly brought SocGen to its knees, why lax banking controls allowed it to happen, and how it can be prevented in the future. [read post]
28 Feb 2012, 2:50 pm
In addition to those matters that demonstrate the factors above, the ACCC is currently prioritising its work in the following areas: • consumer protection in the telecommunications and energy sectors • conduct that may impede emerging competition involving online traders • competition and consumer issues in highly concentrated sectors, in particular in the supermarket and fuel sectors • carbon pricing representations • the ACL consumer guarantees regime •… [read post]
1 Feb 2012, 7:39 am
The analysis has been based on an unprecedented survey drawn from the world's top fifty companies as well as international traders, lawyers advising international traders, arbitral institutions, arbitrators, and law schools.This work encompasses all aspects of a sale of goods transaction and takes a wide view of sale by including general contract law. [read post]
7 Feb 2013, 2:16 pm
A third new piece of information is that the pea shoots were sold at Trader Joe’s retail locations as “Trader Joe’s Organic Pea Shoots,” marked with SKU 92756). [read post]
25 Apr 2012, 4:34 am
Companies Get Some "Larger Trader Rule" Relief from SEC Last year, I blogged about how Section 13(h) of the '34 Act was amended by Dodd-Frank to include "large trader" reporting requirements and that the SEC's final rules to implement this Section didn't include an exception for operating companies that trade as part of ordinary course balance sheet management activities. [read post]
14 Jun 2012, 2:59 am
The stuffed chicken breasts were packaged between June 1 and June 11 of this year and distributed to Trader Joe's retail establishments in Arizona, California, Oregon and Washington. [read post]
14 Aug 2008, 6:33 pm
The consolidation may result in more convicted insider traders, or it may simply result in more efficient investigation of insider traders who would have been caught anyway. [read post]
25 Oct 2019, 6:37 am
Insider trading, manipulation, and short-selling remain attention-grabbing, while newer participants and institutions, such as high-frequency traders and dark pools also generate discussion and debate. [read post]
18 Aug 2008, 5:39 pm
KPMG went to the issuer's traders to find out how they had come up with the valuations but KPMG did not test the information on which the traders had based their assessments. [read post]
24 Apr 2024, 9:05 pm
Trader Joe’s stores across 30 states sold the Infinite Herbs brand basil. [read post]
21 Dec 2020, 6:46 am
The consultation paper therefore covers: (i) the overall approach towards algorithmic trading and high frequency trading and in particular the authorisation regime attached to these types of market participants; (ii) the provisions applicable to algorithmic and high frequency traders; (iii) the provisions applicable to trading venues allowing or enabling these market participants; and (iv) other provisions that aim at better framing the activity of algorithmic and high frequency… [read post]
25 Aug 2010, 9:04 am
" Marcos Esparza Bofill emigrated to the United States from Spain to try his luck as a day-trader. [read post]
