Search for: "Securities Investor Protection Corporation"
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5 Apr 2008, 5:15 am
Atkins’ second area of concern involves corporate penalties and settlements. [read post]
2 Dec 2009, 9:00 pm
Rothstein is alleged to have laundered the funds from the scheme through corporations, contributions and large bonuses and gifts to employees. [read post]
25 Feb 2010, 10:08 am
Investor Education: Investor understanding and education regarding IFRS, and how it differs from U.S. [read post]
31 Jan 2022, 12:46 pm
Lenders are subject to corporate income tax at 25 per cent, VAT at 6 per cent and stamp duty at 0.005 per cent. [read post]
22 Apr 2023, 7:16 pm
The board shall not make an investment decision with the primary purpose of influencing any social or environmental policy or attempting to influence the governance of any corporation. [read post]
27 Sep 2011, 8:02 am
CAS is an important evolutionary step in enhancing both corporate and individual accountability in the online environment. [read post]
17 Sep 2010, 9:37 am
So what’s an accredited investor? [read post]
14 Aug 2018, 6:30 am
Hogs Corporation Being Squeezed for Trade Reasons Part of the Harley Davidson Investor Relations has included Corporate Governance. [read post]
5 Nov 2007, 6:14 am
Protecting Corporate Fraud WhistleblowersRecognizing that the government cannot go it alone and that societal interest supports encouraging people to report corporate fraud, the Sarbanes-Oxley Act creates new civil protection allowing an employee to file a civil lawsuit against an employer that retaliates against him for blowing the whistle on corporate fraud. [read post]
4 Feb 2022, 1:23 pm
Undermining User Privacy & Security. [read post]
29 Mar 2016, 11:06 am
Dec. 10, 2014), finding that prosecutors had not shown that defendants knew that the corporate insider disclosed information in exchange for “personal benefit” (for more detail on Newman, see here). [read post]
8 Jan 2021, 11:01 am
States and local entities regularly participate in the financial markets as investors, as purchasers of financial advice or financial products, or as issuers of securities such as municipal bonds or other public financing. [read post]
20 Nov 2023, 9:01 pm
Madoff Investment Securities LLC (BLMIS) was a Ponzi scheme led to its liquidation under the Securities Investor Protection Act (SIPA).1 A SIPA liquidation is designed to collect “customer property” for ratable distribution among customers based on their “net equity” — investments minus withdrawals (i.e., loss of principal).2 SIPA largely incorporates the Bankruptcy Code and allows the SIPA trustee to recover property transferred by… [read post]
29 Mar 2024, 7:28 pm
The alignment of the spheres of politics, law, and economic activity--subsumed within the overarching principles of international human rights--requires a refocus of the enterprise of business and human rights as a legal-policy matter from the State duty to protect human rights to the corporate responsibility to respect human rights. [read post]
9 Feb 2018, 8:11 am
In China Ends 25-Year Wait as Yuan Oil Futures to Start Trading (Bloomberg 9 Feb. 2018), it was reported that "China will list local-currency crude futures in Shanghai on March 26, according to the nation’s securities regulator. [read post]
10 Dec 2009, 2:09 am
Act 1996 Prevention of Crime Act 1953 Prison Security Act 1992 Protection of ... [read post]
5 Jan 2015, 3:31 pm
Section 16 filings are required for “corporate insiders” (including beneficial owners of 10% or more of a registered voting equity security). [read post]
14 Sep 2023, 4:24 am
The Protect Elections from Deceptive AI Act (S. 2770), sponsored by Sen. [read post]
28 Sep 2017, 2:41 pm
Moreover, as the guardian of U.S. capital markets and sworn protector of investors, the SEC may now unwittingly become a securities fraud kingpin, inadvertently sourcing ironclad tips of nonpublic information to an online stock trading ring. [read post]
10 May 2010, 7:20 am
In deed, in cases dealing with the chapters 7, 12, or 13 types of bankruptcy (meaning largely the personal types of bankruptcy, as opposed to corporate or business types), and sometimes in chapter 11 cases, this administrative process is carried out by someone known as a "trustee" - a person who is not a bankruptcy judge or a court officer, but merely contracted by the court is to process and oversee the case. [read post]
