Search for: "SEC v. Management Solutions"
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26 Jul 2023, 9:01 pm
The release prescribes granular disclosures, which seem designed to better meet the needs of would-be hackers rather than investors’ need for financially material information.[8] The new rule, for example, requires disclosure of detailed information about issuers’ cyber risk management processes and governance and relevant personnel.[9] Second, the SEC’s potentially non-material risk management and governance disclosures veer into managing… [read post]
12 Feb 2010, 10:17 am
The challenge will be for the SEC to strike the right balance.andquot; Gorman agrees that enforcement is more likely to lean on a heavy-penalties approach as a deterrent and to rejuvenate the division, but says just relying on this approach will be a setback to achieving a more balanced approach that seeks workable solutions with the industry. [read post]
10 Sep 2020, 12:36 pm
In FTC v. [read post]
20 Jan 2016, 5:21 am
ACTION NOTICE DATE CLAIM DUE DATE 2015-148 SEC v. [read post]
25 Jul 2011, 10:00 am
In some respects, the DC Circuit's decision in Business Roundtable v. [read post]
15 Sep 2017, 4:00 am
’” The legal test for determining whether certain transactions qualify as investment contracts was devised by the US Supreme Court in SEC v. [read post]
18 May 2023, 12:54 pm
Solutions seem to lie beyond board governance actions, yet actions must and will be taken. [read post]
9 Aug 2019, 3:05 am
Unpacking Stock Splits – Stock Split v. [read post]
2 Jan 2014, 9:15 am
Hochfeld and Hochfeld Capital Management, L.L.C.Case number: 12-cv-08202 (United States District Court for the Southern District of New York)Case filed: November 9, 2012Qualifying judgment/order: October 2, 2013 11/21/2013 02/19/2014 2013-108 SEC v. [read post]
1 Feb 2010, 6:36 am
Streamlining Management and Internal Processes Mr. [read post]
16 Jun 2016, 2:48 pm
BACKGROUND Last week the SEC issued a settled administrative order finding that Morgan Stanley Smith Barney (now rebranded as Morgan Stanley Wealth Management) failed to adopt written policies and procedures reasonably designed to protect customer data. [read post]
15 Mar 2011, 12:04 pm
(“DHB”), now known as Point Blank Solutions, Inc., who had served as members of the Audit Committee. [read post]
2 Sep 2013, 9:00 am
In SEC v. [read post]
15 Nov 2009, 5:43 pm
Outsourcing and Technology solutions Many large managers have implemented compliance programs which have technology solutions designed to track employee trading. [read post]
13 Nov 2008, 3:20 pm
Cooper jokingly describes this hearing as Paulson v. [read post]
9 Mar 2020, 10:26 am
Under 42 CFR Sec. 424.535(a) (3), CMS can revoke Medicare billing privileges if a provider, supplier or any owner or managing employee was convicted of a Federal or State felony (within the preceding 10 years) that CMS determines is detrimental to the best interests of the Medicare program and its beneficiaries. [read post]
1 Feb 2023, 9:01 pm
Before I begin, let me make my standard disclaimer – the views I express today are my own and do not necessarily represent the views of the SEC or my fellow Commissioners. [read post]
13 Jan 2015, 8:25 am
Title V of the Act is the Swap Data Repository and ClearinghouseIndemnification Correction Act. [read post]
15 Jul 2008, 12:15 pm
We have been listening to the oral argument in CA v. [read post]
12 Apr 2018, 7:01 pm
FLSA & Other Wage & Hour Law Exposures & Enforcement Mounting Legal & Business Risk U.S. employers and leaders with wage and hour management authority risk substantial liability from unresolved violations of the FLSA and other federal and state wage and hour laws. [read post]
