Search for: "Securities & Exchange Commission v. Topping"
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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]
22 Feb 2023, 5:16 am
(For more on this, see Chambers v. [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]
20 Aug 2015, 7:11 am
Dax White is the managing partner of the White Law Group, a national securities, fraud securities, arbitration, and investor protection law firm. [read post]
2 Oct 2023, 9:50 am
Department of Justice and the Federal Trade Commission issued new Draft Merger Guidelines. [read post]
13 Oct 2022, 9:18 am
For the Crown to secure a conviction for possession of stolen property, the actus reus and the mens rea of the offence must be proven beyond a reasonable doubt. [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]
24 Jun 2020, 5:01 am
” In another case, Cernuda v. [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]
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]
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]
12 Feb 2019, 11:30 am
Securities and Exchange Commission. [read post]
6 Oct 2016, 9:30 pm
The Securities and Exchange Commission (SEC) announced that Credit Suisse AG agreed to pay a $90 million fine to settle charges that it misrepresented the methodology it used to determine an important wealth management performance metric. [read post]
31 Dec 2019, 8:13 am
The Securities and Exchange Commission (the “SEC”) has provided a model form and accompanying instructions for firm privacy policies. [read post]
16 Nov 2007, 12:02 am
But on Wednesday, the company reported a happy ending: The Securities and Exchange Commission closed its investigation of the company's option practices without taking enforcement action. [read post]
3 Jul 2013, 2:55 pm
A recent case from the California Court of Appeals, Lloyd v. [read post]
