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17 Nov 2011, 3:27 am
This Multilateral Memorandum standardizes the process by which securities commissions that are members of IOSCO can obtain information from other member securities commissions for enforcement purposes.It appears that IOSCO envisages that this Multilateral Memorandum will become a key weapon in the arsenal of securities commissions to tackle securities offences which increasingly no longer respect jurisdictional boundaries. [read post]
2 May 2019, 3:02 am
It’s a safe bet that the SEC still takes social media more seriously than Elon Musk – whose recent Twitter bio was “Meme Necromancer. [read post]
11 May 2020, 9:04 am
The Markets and Cyber Risk The Securities and Exchange Commission (SEC) noted—in a 2018 statement—the increasing risk of cybersecurity incidents for investors. [read post]
9 Feb 2015, 4:00 am
’s application of a VPC that used Social Security number verification, which is already approved under COPPA, and knowledge-based authentication questions. [read post]
10 Mar 2018, 4:34 am
Hilary Hurd covered new developments at the military commissions from Feb. 26-March 2. [read post]
6 Jan 2014, 6:30 am
If the SEC's informal inquiry leads to the possibility of securities law violations, the Staff will obtain permission from the Commission to conduct a formal investigation - a document known as a formal order of investigation. [read post]
2 Mar 2022, 10:44 am
This time, Reddit attracted attention from the Securities and Exchange Commission (“SEC”) by filing a confidential initial public offering (“IPO”) on December 15, 2021. [read post]
17 Aug 2021, 10:23 am
But its September 2020 Form 8-K with the Securities and Exchange Commission said that SSNs, bank account information, usernames, and passwords might have been taken. [read post]
22 Nov 2019, 5:51 am
Securities and Exchange Commission, on Wednesday, November 20, 2019 Tags: Agency costs, Disclosure, Institutional Investors, Political spending, SEC, SEC rulemaking, Securities regulation, Shareholder voting, Transparency Supreme Court Review of SEC’s Authority to Seek Disgorgement Posted by Greg Andres, Robert Cohen and Paul Nathanson, Davis Polk & Wardwell LLP, on Thursday, November 21, 2019 … [read post]
29 Jun 2022, 5:30 pm
According to the the report, the Social Security numbers of 2,188 Cetera clients were potentially exposed when a printer company used by Cetera, R.R. [read post]
4 Apr 2016, 5:30 pm
It is often difficult for advisors to demonstrate that switching was in the best interest of the client and not for the purpose of generating commissions. [read post]
31 Jul 2024, 3:30 am
Here’s an excerpt from the SEC’s announcement of its latest fraud-based enforcement proceeding against a prominent player in the crypto ecosystem: The Securities and Exchange Commission today charged Nader Al-Naji with perpetrating a multi-million-dollar fraudulent crypto asset scheme involving a social media platform called BitClout and its native token of the same name (herein, “BTCLT”). [read post]
11 Jul 2024, 5:54 am
The call by attorneys general for a dedicated expert commission highlights the urgency and seriousness of these risks. [read post]
16 May 2018, 6:56 am
In a 2016 filing with the United States Securities and Exchange Commission, Facebook warned: “if the IRS prevails in its position, that could result in an additional federal tax liability of an estimated aggregate amount of approximately $3.0 – $5.0 billion, plus interest and any penalties asserted. [read post]
8 Apr 2018, 2:58 am
With 20 Indonesian citizens currently on death row in Saudi Arabia, Jakarta has a vested interest in seeing the recommendations of the committee implemented.Indonesia fights tirelessly to secure clemency for its citizens facing the death penalty abroad through diplomatic negotiations, legal channels, and even by paying blood money or ransoms where possible. [read post]
29 Aug 2023, 5:55 am
” But by studying this playbook, frontline activists are devising new ways to defend the fundamental rights to influence political and social structures. [read post]
18 Jun 2020, 12:00 am
Users would no longer be forced to stay on a platform that disregards their privacy, covertly collects their data, or jeopardizes their security, for fear of losing their social network. [read post]
4 Nov 2017, 4:13 am
It was also a dramatic week at the Guantanamo Bay military commissions. [read post]
3 Mar 2021, 6:24 am
This chronic disincentive to invest in cybersecurity leads to weaker cyber security for everyone.Government PolicyAssuming the goal is to maximise social welfare, i.e., maximise the net benefit of cybersecurity, then government policy needs to balance public sector expenditures with incentivising individual firms to invest in their cybersecurity. [read post]
17 Feb 2016, 3:09 pm
This addresses arguments made by major trade associations that small providers with limited resources need flexibility in achieving privacy and security goals. [read post]
