Search for: "Exchange Bank"
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2 Nov 2023, 1:16 pm
The Securities and Exchange Commission today announced that Canada’s largest bank, Royal Bank of Canada, will pay a $6 million penalty to settle charges that it violated the books and records and internal accounting controls provisions of the securities…Read the Full Press Release Have a securities law question? [read post]
2 Nov 2023, 9:04 am
These include, among others: Large operating companies (20+ full time employees and $5 million in gross receipts/sales); Public companies; Venture capital fund advisors; Pooled investment vehicles; Subsidiaries of certain exempt entities (must be wholly owned subsidiaries); Insurance companies and insurance producers; Certain other highly regulated entities, such as: Banks; Credit unions; Bank holding companies; Securities brokers or dealers; SEC-registered investment companies or… [read post]
2 Nov 2023, 6:36 am
Morgan Securities LLC (CRD#:79), and Deutsche Bank Securities Inc. [read post]
1 Nov 2023, 2:40 pm
However, whether an NFT falls within the regulatory regime will need to be assessed on a case-by-case basis depending on whether it is used for one of the regulated activities (for example, where it is used as an exchange token) regardless of how it is described. [read post]
1 Nov 2023, 2:07 pm
The bank fired several employees and pulled back from the block trading business, losing market share to rivals. [read post]
Wells Fargo faces SEC investigation regarding its cash sweep options for investment advisory clients
1 Nov 2023, 1:53 pm
Securities and Exchange Commission is probing Wells Fargo’s (NYSE:WFC) cash sweep options for investment advisory clients, the bank disclosed in a recent SEC filing. [read post]
1 Nov 2023, 11:41 am
”.[12] There are few different schemes of operations that companies offering fractionalized art ownership employ; Ventures such as Freeport or Masterworks offer prospective[13] buyers a purchase of class A shares under Securities and Exchange Commission (SEC), which are subjected to ordinary securities AML rules. [read post]
1 Nov 2023, 6:51 am
The unsealed indictment said Menendez accepted hundreds of thousands of dollars in bribes from three New Jersey businessmen, including Daibes, in exchange for helping them enrich themselves and trying to get them out of trouble. [read post]
30 Oct 2023, 11:00 pm
Beneficial Ownership under Section 13 of the Exchange Act Get into the details of Schedule 13D and Schedule 13G. 2023 SEC Filing Deadlines Calendar Keep your end of the year deadlines in focus. [read post]
30 Oct 2023, 4:39 pm
Does it necessarily include mechanisms of regulatory oversight such as those applied to public companies and certain industries such as banking and certain functions such as privacy? [read post]
30 Oct 2023, 11:26 am
In an article on the Artists Network website, New York based art attorney, John Cahil, points out how accepting art as payment can pose additional challenges, mentioning that additional actions may be required in accepting art as payment stating, “Valuation is an issue for making sure that the exchange is fair to the artist and to the business. [read post]
30 Oct 2023, 9:16 am
There will be a modified approach towards market abuse obligations on crypto exchanges, acknowledging the potential need for a staggered implementation for cross-venue data sharing obligations. [read post]
27 Oct 2023, 9:25 pm
This means that retail access will largely be restricted to a limited suite of VA-related exchange-traded derivative products such as futures-based VA ETFs authorized for public offering by the SFC and traded on the Stock Exchange in Hong Kong. [read post]
27 Oct 2023, 10:17 am
Supreme Court recognized sexual harassment as a form of sex discrimination in Meritor Savings Bank v. [read post]
27 Oct 2023, 6:00 am
In a call to discuss a share exchange offer Visa recently floated with its stockholders, Visa CEO Ryan McInerney told analysts the card giant values the unresolved claims at between $1.4 billion and $4.0 billion, according to a transcript of the Sept. 13 call. [read post]
26 Oct 2023, 10:57 pm
ASIC alleges that Bit Trade’s margin trading product is a credit facility, as it offers customers credit for use in the sale and purchase of certain crypto assets on the Kraken exchange. [read post]
26 Oct 2023, 9:01 pm
A bank that is not subject to Exchange Act reporting obligations would have no disclosure obligations under the U.S. securities laws. [read post]
26 Oct 2023, 12:50 pm
Look for firms that are members of relevant regulatory bodies, such as the Securities and Exchange Commission (SEC), or the Financial Industry Regulatory Authority (FINRA). [read post]
25 Oct 2023, 9:05 pm
We argue that the proposed rules, if adopted, will have important practical implications for companies, banks, law firms, and other participants in the securities industry. [read post]
25 Oct 2023, 9:01 pm
On December 5, the Supreme Court will hear arguments in an important tax case, Moore v. [read post]
