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15 Nov 2023, 6:26 am
Industry Shaping Initiatives In fiscal year 2023, the Division conducted a number of initiatives to proactively investigate recurring or widespread violations in the securities industry. [read post]
15 Nov 2023, 5:40 am
Banjo Corporation v. [read post]
14 Nov 2023, 9:01 pm
Industry Shaping Initiatives In fiscal year 2023, the Division conducted a number of initiatives to proactively investigate recurring or widespread violations in the securities industry. [read post]
14 Nov 2023, 9:39 am
Many workers across various industries experienced significant job losses. [read post]
13 Nov 2023, 9:05 pm
INTERPRETIVE GUIDANCE The Interpretive Guidance is substantively identical to the proposal and, according to the Council, “removes three significant but inappropriate prerequisites”[12] that were embodied in the 2019 Interpretive Guidance: (1) the prioritization of industry-wide, activity-based regulations over the designation of specific entities (i.e., an “activities-based approach”) to address risks to financial stability; (2) the commitment to… [read post]
13 Nov 2023, 6:43 am
In fact, the majority of Americans do not hold strong trust in our health agencies like FDA and CDC. [read post]
12 Nov 2023, 6:32 am
Bureau of Industry and Security (BIS) of the U.S. [read post]
10 Nov 2023, 11:45 am
Women make up 40% of the workforce in major companies but only hold 6% of CEO positions. [read post]
10 Nov 2023, 10:56 am
Addressing how FinCEN identifiers may benefit the industry in complying with these new reporting requirements, FinCEN noted in its release: “A FinCEN identifier is a unique number that FinCEN will issue upon request after receiving required information. [read post]
10 Nov 2023, 6:00 am
In that instance, a federal judge, Harold Greene, served as a de facto regulator for a dozen years, overseeing restrictions on the spun-off regional Bell holding companies. [read post]
8 Nov 2023, 9:05 pm
Although CITs, like mutual funds, may hold shares of public companies and exercise the corporate voting rights afforded such shares, CITs are not subject to the securities law requirements to publicly disclose their voting records or to give fund investors voice in fund governance. [read post]
6 Nov 2023, 3:15 pm
“Whistleblowers can put teeth into corporate and environmental accountability, holding polluters liable for fraud. [read post]
5 Nov 2023, 10:11 am
Finally, on October 12, 2023, the FCA announced on its website its decision to fine Staley £1.8 million and to ban him for holding senior management positions in the financial services industry. [read post]
3 Nov 2023, 11:22 am
In effect, the Second Circuit holds that a government official must explicitly threaten adverse consequences for disfavored speech—and must do so in the absence of any contemporaneous assertion of a regulatory interest—for a First Amendment retaliation claim to arise. [read post]
3 Nov 2023, 4:00 am
In coming weeks, courts around the country might hold similar proceedings. [read post]
2 Nov 2023, 4:00 am
Canadian Ombudsperson for Responsible Enterprise: Toothless Canada has taken only half-measures to hold corporations accountable for their conduct. [read post]
1 Nov 2023, 9:41 pm
” But the PR now dramatically curtails that well-established exception: It claims that “corporate and hospital laboratories” are not eligible for this exemption because they employ, but are not themselves, licensed practitioners. [read post]
1 Nov 2023, 9:01 pm
On October 4, 2023, Deputy Attorney General Lisa Monaco announced that DOJ will offer leniency to companies that self-report misconduct they inherit through corporate transactions. [read post]
1 Nov 2023, 2:40 pm
On 30 October 2023, the U.K. [read post]
30 Oct 2023, 4:39 pm
In cases where explanations are deemed inadequate, investors are encouraged to engage with the companies and hold directors accountable, with the aim of enhancing governance practices and reporting standards. [read post]
