Search for: "Securities Investor Protection Corporation"
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19 Jul 2019, 5:00 am
Moody’s noted that “cyber intelligence” would continue to “be a focus point for governments and security agencies, despite the constant strain on public budgets. [read post]
24 Jul 2020, 6:23 am
Complex and opaque mortgage-related securities, and derivatives based on those securities, embedded and concealed risk throughout the financial system.When the bubble burst starting in late 2007, hundreds of billions of dollars in losses in mortgages and mortgage-related securities sent a shock wave through markets around the world, compounded by derivatives losses. [read post]
6 Jan 2015, 4:14 am
The case raised the possibility that the Court might reconsider or even dump the “fraud on the market” theory, on which the ability of investors to pursue securities claims as a class action significantly depends. [read post]
29 Nov 2023, 9:01 pm
Overall, another year of high monetary sanctions illustrates the Division’s continued objective to “aggressively employ[] all of its tools to protect investors and market integrity[,]”[4] including by demanding penalties significantly exceeding penalty precedents in similar cases. [read post]
30 Jun 2022, 8:15 am
It clarified the interrelationship between the right to effective remedy, access to effective remedy, access to justice, and corporate accountability. [read post]
25 Apr 2019, 6:05 am
The real issue with China’s treatment of foreign investors is that China continues to protect its domestic economy against foreigners. [read post]
3 Feb 2012, 6:11 am
On the securities side there is the Securities Investor Protection Corporation (SIPC) which provides insurance coverage of up to $500,000 of securities and up to $250,000 in cash in the event that a broker-dealer fails. [read post]
16 Mar 2017, 3:00 am
Digital Realty – which held held that employees who report securities law violations internally, but not to the SEC, are still protected as “whistleblowers” under Dodd-Frank. [read post]
28 Jan 2023, 7:32 am
On the other hand, for the World Bank Groups Internaitonal Finance Corporation, "ESG Standards comprise the Performance Standards, which define clients' responsibilities for managing their environmental and social risks, and the Corporate Governance Methodology, which sets out an approach to evaluate and improve the corporate governance of clients. [read post]
6 Jul 2022, 5:01 am
A recent survey of “150 municipal bond credit analysts and specialists (excluding those at rating agencies) carried out this month by HillTop Securities shows digital risks are increasingly on investors’ minds—and practically none of those investors think state and local governments are prepared” for a cyberattack. [read post]
25 Jan 2011, 6:51 pm
Finally, it provides whistle-blowers with unprecedented levels of enhanced protection against possible employer retaliation, including expanded private rights of action under federal law, as well as entitlement to reinstatement, double back pay and litigation costs.6 Dodd-Frank also created the Securities and Exchange Commission Investor Protection Fund, from which all bounty payments will be made. [read post]
29 Apr 2010, 6:02 am
Because the trigger level for registration is relatively low and has few exceptions, many entities would cross the threshold level unexpectedly (such as by acquiring a block of NMS securities with a value of $20 million in a single corporate transaction) and then be subject to registration and updating requirements for at least a year. [read post]
26 May 2022, 12:09 pm
Substantial assets also belong to other Russian government agencies, state-owned enterprises, and private corporations and individuals that have been sanctioned as a result of Russia’s actions. [read post]
25 Feb 2014, 6:12 am
It is among the largest funds, and one heavily invested in equities, real estate and other securities abroad. [read post]
3 Oct 2011, 7:07 pm
Citi Asia is licensed under the Securities and Futures Ordinance (SFO ) to carry on Type 1 (dealing in securities), Type 4 (advising on securities), Type 6 (advising on corporate finance) and Type 7 (providing automated trading services) regulated activities. 2. [read post]
5 Jan 2020, 2:52 pm
The number of standalone state court securities suit filings even further increases the total number of securities suits filed during 2019. [read post]
5 Jan 2020, 2:52 pm
The number of standalone state court securities suit filings even further increases the total number of securities suits filed during 2019. [read post]
28 Jan 2022, 11:50 am
In addition to selling thousands of MSGs that didn’t even exist, the defendants paid prior investors using funds from newer investors, then laundered their ill-gotten gains. [read post]
18 Jun 2020, 2:12 pm
Previous investors Dawn Capital, Nauta Capital and Slack Fund all invested in this latest round. [read post]
21 Jul 2020, 4:30 am
What Michael Carter Investors Can Do Securities lawyers at Goldman Scarlato & Penny have extensive experience in fighting for recovering losses on behalf of broker misconduct victims. [read post]
