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Financial Institutions Fined for Discussing Deals and Trades Over Personal Apps

28 Nov 2022, 9:02 am by Jack Valladares

Credit Suisse Securities (USA) LLC Deutsche Bank Securities Inc. [read post]

Griffin Durham Tanner Clarkson LLC Blog - https://griffindurham.com/blog/

Review of Comments on SEC Climate Rulemaking

23 Nov 2022, 6:32 am

” Some commentators also referred to the SEC’s role as it pertains to privately-held entities within a registrant’s supply chain (see the American Securities Association and International Dairy Foods Association). [read post]

The Harvard Law School Corporate Governance Blog - https://corpgov.law.harvard.edu/

Review of Comments on SEC Climate Rulemaking

23 Nov 2022, 6:32 am

” Some commentators also referred to the SEC’s role as it pertains to privately-held entities within a registrant’s supply chain (see the American Securities Association and International Dairy Foods Association). [read post]

Harvard Law School Forum on Corporate Governance - https://corpgov.law.harvard.edu

Financial Institutions Fined for Discussing Deals and Trades Over Personal Apps

21 Nov 2022, 9:02 am by Jack Valladares

Credit Suisse Securities (USA) LLC Deutsche Bank Securities Inc. [read post]

Griffin Durham Tanner Clarkson LLC Blog - https://griffindurham.com/blog/

Toward Greater Content Moderation Transparency Reporting

6 Oct 2022, 5:01 am by Paul Rosenzweig, Katie Stoughton

The services necessary for accessing, browsing, delivering, hosting, and securing information online. [read post]

Lawfare - http://www.lawfareblog.com/

SEC Cracks down on 16 Wall Street Firms for Electronic Communications Failures

28 Sep 2022, 12:37 pm by The White Law Group

Credit Suisse Securities (USA) LLC Deutsche Bank Securities Inc. [read post]

The White Law Group's Securities Fraud Blog - http://www.whitesecuritieslaw.com/securities-fraud/blog/

Securities and Exchange Commission charges six Wall Street firms with widespread recordkeeping failures and improper use of text messaging in violation of securities laws. Total penalties exceed $1.1 Billion

28 Sep 2022, 8:06 am by jeffreynewmanadmin

;Credit Suisse Securities (USA) LLC;Deutsche Bank Securities Inc. together with DWS Distributors Inc. and DWS Investment Management Americas, Inc. [read post]

Whistleblower Blog - https://www.jeffreynewmanlaw.com/blog/

What to Know About the SEC’s ESG Investing Rule Proposals

17 Aug 2022, 6:30 am

Securities and Exchange Commission (SEC) proposed new disclosure and naming requirements for funds that consider environmental, social and governance (ESG) factors in their investment decisions. [read post]

The Harvard Law School Corporate Governance Blog - http://blogs.law.harvard.edu/corpgov

What to Know About the SEC’s ESG Investing Rule Proposals

17 Aug 2022, 6:30 am

Securities and Exchange Commission (SEC) proposed new disclosure and naming requirements for funds that consider environmental, social and governance (ESG) factors in their investment decisions. [read post]

Harvard Law School Forum on Corporate Governance - https://corpgov.law.harvard.edu

Guest Post: An Investor Roadmap: The Jurisdictional Differences and Impact of ESG in European Shareholder Class Actions

18 Jul 2022, 2:46 pm by Kevin LaCroix

We are therefore seeing more ESG-focused securities litigation in the pipeline for these reasons. [read post]

The D & O Diary - http://www.dandodiary.com/

Corporate Criminal Liability for ESG Initiatives Is on Its Way

22 Jun 2022, 9:05 pm by J.S. Nelson

In March 2022, Deutsche Bank agreed to extend the term of its outside compliance monitor on this basis. [read post]

The CLS Blue Sky Blog - https://clsbluesky.law.columbia.edu/

Seagate Technology and the Case of the Missing Huawei FDPR Enforcement

6 Jun 2022, 7:06 am by James Mulvenon

’s foreign policy goals and national security objectives. [read post]

Lawfare - http://www.lawfareblog.com/

Compliance Bricks and Mortar for May 13

13 May 2022, 3:00 am by Doug Cornelius

Elon Musk’s Belated Disclosure of Twitter Stake Triggers Regulators’ ProbesBy Dave Michaels The Securities and Exchange Commission is probing Mr. [read post]

Compliance Building - http://www.compliancebuilding.com

A recent Delaware federal decision rejects attempts to challenge the senior status of a ship mortgage in a US maritime priority dispute

26 Apr 2022, 12:55 pm by Alice Colarossi

Decisions issued in the 1980s like Custom Fuel Servs., Inc. v. [read post]

Ship Law Log - http://www.shiplawlog.com/

Deutsche Bank Securities, Inc. Hit with $2 Million Fine

11 Mar 2022, 10:05 am by The White Law Group

The post Deutsche Bank Securities, Inc. [read post]

The White Law Group's Securities Fraud Blog - http://www.whitesecuritieslaw.com/securities-fraud/blog/

Securities Industry Commentator by Bill Singer Esq

4 Mar 2022, 10:21 am

FINRA Arbitrators Award Over $2 Million In Disputed Customer Transfer and Asset Purchase Agreement (BrokeAndBroker.com Blog)Former Cantor Fitzgerald Trader Sues Over Wrongful Termination Involving Child Care Leave (BrokeAndBroker.com Blog)SEC Proposes Rules on Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure by Public Companies (SEC Release)SEC Obtains Final Judgment Against Operator of Fraudulent Digital Asset Trading Fund (SEC Release)FINRA Fines Deutsche… [read post]

Broke and Broker - http://brokeandbroker.com/index.php

Top Ten Whistleblower Awards of 2021

6 Jan 2022, 1:34 pm by luiza

Its parent company Alere Inc. [read post]

Whistleblower Insider - https://constantinecannon.com/practice/whistleblower/blog/

Top Ten Whistleblower Awards for 2021

6 Jan 2022, 1:34 pm by luiza

Its parent company Alere Inc. [read post]

Whistleblower Insider - https://constantinecannon.com/practice/whistleblower/blog/

FINRA Bars Stockbrokers For Failing To Provide FINRA With Information December 2021

27 Dec 2021, 11:43 am by Silver Law Group

Rosemary Vrablic Deutsche Bank Securities Inc. [read post]