Search for: "Matter of Trader"
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4 Oct 2018, 9:21 am
More Large Scale Matters. [read post]
30 Sep 2018, 5:16 pm
No matter the medium, the SEC’s anti-fraud statutory weaponry applies. [read post]
26 Sep 2018, 10:38 am
Due to this vulnerability, cautious traders often store their holdings in offline wallets and move funds to an exchange just long enough to place trades (William Peaster, Blockonomi). [read post]
26 Sep 2018, 12:00 am
Due to this vulnerability, cautious traders often store their holdings in offline wallets and move funds to an exchange just long enough to place trades (William Peaster, Blockonomi). [read post]
21 Sep 2018, 7:38 am
The FCA has prohibited Christian Bittar, a former derivatives trader of products referenced to Euribor at a global bank, from all controlled functions for seeking to manipulate Euribor. [read post]
19 Sep 2018, 9:55 am
Accordingly, the NAD referred the matter to the FDA and the FTC. [read post]
30 Aug 2018, 5:00 am
Experts hold different views on legal and regulatory matters, so it is imperative that you seek out regulators when doing business in this space. [read post]
27 Aug 2018, 6:32 am
CJEU on Mitsubishi forklift trucks matter appeared first on Kluwer Trademark Blog. [read post]
25 Aug 2018, 1:00 am
You are not a day trader. [read post]
18 Aug 2018, 1:00 am
If you look at fixed income traders, those are the people that trade bonds and similar fixed income instruments, we start with fewer of those, only about 1,600. [read post]
17 Aug 2018, 1:05 pm
We have decades of experience in securities litigation matters, including the defense of enforcement actions. [read post]
17 Aug 2018, 1:05 pm
We have decades of experience in securities litigation matters, including the defense of enforcement actions. [read post]
12 Aug 2018, 9:45 pm
Frucor argued that consumers would appreciate that factors such as scanning, printing and matters of that kind might vary the colour representation. [read post]
12 Aug 2018, 9:45 pm
Frucor argued that consumers would appreciate that factors such as scanning, printing and matters of that kind might vary the colour representation. [read post]
29 Jul 2018, 11:00 pm
In light of this apparent discrepancy between theory and practice, we decided to investigate further how traders actually choose the law for their deals. [read post]
20 Jul 2018, 6:03 am
Hall, Laura Turano, and Zachary Shapiro in NYU Laws Compliance Enforcement The recent convictions of two traders for using hacked press releases and the settlement of SEC insider trading charges against a former Equifax manager highlight the significant insider trading risks companies face when dealing with a cyber event. [read post]
12 Jul 2018, 8:53 am
Digital Asset Matters We see many thought-provoking items in the digital asset sector as the industry moves towards greater institutional infrastructure. [read post]
10 Jul 2018, 3:57 am
FINRA MATTERS Enforcement FINRA Suspends a Member for Failure to Disclose Outside Business Activity. [read post]
6 Jul 2018, 8:42 am
Tribunal upholds prohibition order for junior trader in connection with LIBOR manipulation The Upper Tribunal has upheld the FCA’s decision to prohibit Arif Hussein, a former trader, on the basis that he failed to be candid and truthful during the enforcement process. [read post]
5 Jul 2018, 3:17 pm
The new reporting requirements should help to flag those items and give Customs an additional point of enforcement action.Why does this matter? [read post]
