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17 Oct 2022, 7:30 am
ActiveNav Inc. is headquartered in the DC metro area and has offices in Europe and Australia. [read post]
24 Aug 2022, 9:01 pm
The SEC’s complaint charges Vale with violating Section 10(b) of the Securities and Exchange Act of 1934 (the “Exchange Act”) and Rule 10b-5 thereunder, as well as Sections 13(a) of the Exchange Act.[13] On May 23, 2022, the SEC announced the settlement of charges against BNY Mellon Investment Adviser, Inc. [read post]
10 Aug 2022, 6:50 pm
Amidst a bear market and increasing scrutiny from the Securities and Exchange Commission (“SEC”), SPACs have crashed as fast as they rose. [read post]
29 Jun 2022, 11:58 am
Winters of the Fraud Section’s National Rapid Response Strike Force is prosecuting the case. [read post]
30 May 2022, 4:07 am
Posted by Subodh Mishra, Institutional Shareholder Services, Inc., on Monday, May 30, 2022 Editor's Note: Subodh Mishra is Global Head of Communications at Institutional Shareholder Services. [read post]
30 May 2022, 4:07 am
Posted by Subodh Mishra, Institutional Shareholder Services, Inc., on Monday, May 30, 2022 Editor's Note: Subodh Mishra is Global Head of Communications at Institutional Shareholder Services. [read post]
25 May 2022, 9:01 pm
In this article, we begin with the Securities and Exchange Commission (“SEC”) regulations that mandate risk disclosures, and the federal statutes that create civil liability for misleading statements. [read post]
26 Apr 2022, 8:03 am
GWG is reportedly blaming the Securities and Exchange Commission for questioning the numerous broker-dealers that sold GWG L bonds for its rapid decline. [read post]
8 Apr 2022, 11:37 am
A second general license permits wind down transactions with Alrosa USA, Inc. through 12:01 AM eastern daylight time on June 7, 2022. [read post]
1 Feb 2022, 4:08 pm
Civil enforcement actions against the parties responsible for triggering and fueling the opioid epidemic are a critical part of the department’s ongoing efforts to address this crisis.Consistent with this focus, the largest False Claims Act settlements in the past year resulted from significant resolutions with prescription opioid manufacturers: Indivior Inc. and Indivior plc (Indivior), and Purdue Pharma (Purdue). [read post]
8 Dec 2021, 11:27 am
On an annual basis, Securities and Exchange Commission (“SEC”) registered investment advisers (“SEC RIAs”) are required to provide natural person clients with a copy of the firm’s privacy policy if: (i) the SEC RIA has disclosed nonpublic personal information other than in connection with servicing consumer accounts or administering financial products; or (ii) the firm’s privacy policy has changed. [read post]
8 Dec 2021, 7:27 am
On an annual basis, Securities and Exchange Commission (“SEC”) registered investment advisers (“SEC RIAs”) are required to provide natural person clients with a copy of the firm’s privacy policy if: (i) the SEC RIA has disclosed nonpublic personal information other than in connection with servicing consumer accounts or administering financial products; or (ii) the firm’s privacy policy has changed. [read post]
14 Nov 2021, 9:13 pm
Elizabeth Holmes dropped out of Stanford University and founded Theranos, Inc. [read post]
8 Nov 2021, 6:27 am
Those blockchains may not be well-suited to rapid processing of large quantities of low value transactions. [read post]
8 Nov 2021, 6:27 am
Those blockchains may not be well-suited to rapid processing of large quantities of low value transactions. [read post]
4 Nov 2021, 6:45 am
Hanley Hospitality Inc., 2021 ONSC 3135).Best Practices for Ontario EmployersAs we have yet to receive guidance from the courts on workplace COVID-19 vaccination policies, employers should proceed with care. [read post]
11 Oct 2021, 7:59 pm
Federal government contractors and grant recipients should tighten cyber security policies, practices and internal controls to mitigate their exposure to civil False Claims Act claims by the Department of Justice (“DOJ”) under a new DOJ Civil Cyber-Fraud Initiative announced by DOJ last week. [read post]
4 Oct 2021, 6:24 am
Therefore, real estate funds and companies, publicly traded in the EU, EEA or other equivalent stock exchanges authorised under German law, fall outside of the scope of RETT. [read post]
20 Aug 2021, 7:10 am
Joe Schifano, Global Head of Regulatory Affairs, Eventus Systems Inc., a provider of surveillance and risk solutions regarding equity, commodities and digital markets, moderated the panel discussion with Peirce and Berkovitz.The "learning curve. [read post]
20 Jul 2021, 8:48 am
Didi Global Inc. is incorporated in the state of Cayman Islands, and a foreign company under the Chinese law. [read post]
