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28 Jun 2011, 12:28 am
We suspect to see the more creative EU traders target product lines that were priced out of the Korean market because of high tariffs on certain product lines. [read post]
19 Aug 2019, 2:00 am
The Rule 15c2-11 files were stuck in a compliance filing cabinet and could not be independently accessed by the traders or the firm’s designated principal without requesting them from the compliance department. [read post]
2 Jan 2009, 4:44 pm
OMG, I need to get a grip.No way can I decide, so I'm just going to treat these cute oxymorons like a bunch of Wall Street traders at bonus time. [read post]
10 Jun 2013, 5:00 am
Sources: SEC Freezes Assets of Thailand-Based Trader for Insider Trading Ahead of Smithfield Foods Acquisition Announcement SEC Complaint (.pdf) SEC Sues Rungruangnavarat for Insider Trading in Smithfield Foods Acquisition by David Smyth in Cady Bar the Door Red flags by Rutger van Waveren CC BY ND [read post]
10 May 2007, 3:15 am
" In short, if we point to our saints, you are going to demand that we point also to our charlatans, persecutors, shysters, slave-traders, inquisitors, hucksters, televangelists, and so on. [read post]
3 Feb 2011, 5:29 am
These people include treaty traders under NAFTA, fiances of of US citizens and their children, spouses of lawful permanent residents and their children, foreign government officials and employees of international organizations when entering the United States on an assignment. [read post]
28 Jan 2008, 6:27 am
Last week, it was reported that Jerome Kerviel, a lone trader at French bank Societe Generale, lost $7.2 billion of the bank's money in unauthorized trades betting on European equity index futures. [read post]
13 Feb 2010, 9:32 pm
Related Web Resources: Ex-NY fund manager Slaine pleads guilty, Reuters, February 2, 2010 Ex-Galleon Trader Slaine Pleaded Guilty, Sued by SEC in Probe, BusinessWeek, February 3, 2010 Investor charged in Galleon insider trading case, TimesOnline, February 2, 2010 [read post]
20 Sep 2006, 11:32 am
Since correct valuation is a cornerstone of risk management, he reasoned, this illiquidity makes risk management more difficult.Interestingly, he observed that recently there have been instances of mismarking by traders of their derivatives books, leading to large losses for the banks involved. [read post]
1 Jul 2013, 2:13 pm
June 27: Treatment of Swap Transactions for Persons Engaging in Floor Trader Activities. [read post]
11 Oct 2023, 6:30 am
By the Commission’s logic, narrowing the filing window should enable uninformed traders to share in profits created by the diligent efforts of more informed investors. [read post]
27 Sep 2011, 7:56 am
In making their profits, insider traders are slowly but surely undermining the faith and trust that investors place in the financial markets. [read post]
23 Mar 2012, 12:20 pm
Since I try to avoid legalese where ever possible and eliminate as much unnecessary verbiage from agreements I prepare, I frequently look at the spelling out of dollar amounts, followed by the numerical sum in parentheses, "ten thousand dollars, ($10,000.00), and wonder if we couldn't just eliminate one of those.But then I see a story like, JPMorgan Sued by Trader Over $3 Million Decimal Point, where there is a difference of opinion as to whether an… [read post]
13 Sep 2024, 1:29 pm
“I have heard in recent days from residents, from traders, from visitors to Melbourne, literally begging us to bring the trial to an end to make our city safe again” Melbourne Mayor Nicolas Reece was quoted in saying at a news conference. [read post]
19 Sep 2007, 1:35 am
The clients of the traders don't seem to care if their traders violate a trading limit on the floor of the exchange. [read post]
30 Mar 2016, 7:19 am
The European Commission has published two draft directives on the supply of digital content and the online sale of goods that aim to help harmonise consumer law across Europe. [read post]
Former Futures Trader at JP Morgan Cazenove is Sentenced to 4 Years Imprisonment for Insider Dealing
19 Mar 2013, 11:24 am
Following a prosecution brought by the FSA, Richard Joseph was found guilty at Southwark Crown Court of six counts of conspiracy to deal as an insider. [read post]
1 May 2013, 7:32 am
20 Sep 2009, 2:05 pm
A Houston federal court judge tossed the criminal charges in a rare Commodities Exchange Act case, citing a controversial exemption that covers unregulated trades. [read post]
25 Aug 2010, 2:26 am
The Smoking Gun, IRS Claims Hipster Owes $172 Million: The IRS claims that a Spanish émigré who once lived in a New York City tenement owes it $172 million in back taxes. [read post]
