Search for: "The Trader"
Results 4721 - 4740
of 6,967
Sorted by Relevance
|
Sort by Date
9 Aug 2021, 9:03 am
The amendments to the law amend the definition of financial institutions in the AMLA, under Section 6110(a), to include art and antiquities traders, thereby holding them to the same reporting standards as financial institutions under the BSA. [read post]
25 Sep 2021, 11:13 am
Front running is not easy to detect, especially when engaged by high-speed traders on volumes of stocks. some consider it one of the major market manipulations ongoing today and involving billions of dollars in illegal profits. [read post]
3 Mar 2021, 2:25 pm
Previous categorical exceptions for professional athletes and treaty investors or traders no longer apply. [read post]
16 Apr 2010, 11:39 am
,the asterisked note on page 77, where Lewis notes: "Goldman was in the position of selling bonds to its customers created by its own traders, so that they might bet against them. [read post]
31 Jul 2012, 5:12 am
Sources: SEC Freezes Assets of Insider Traders in Nexen Acquisition SEC Complaint S.E.C. [read post]
15 Oct 2010, 11:47 am
As the difference between rates grow, traders can make more money by borrowing cheaply in dollars and yen and investing that money in higher yielding stocks and bonds in developing economies. [read post]
24 May 2012, 11:24 am
And while many large investment firms were informed of these risks, individual traders were not. [read post]
20 Apr 2010, 8:21 pm
The Full Federal Court from which the appeal was brought had erred by adopting the rule laid down in Kraft v Gaines, that the exhaustive test for standing included a requirement that trader could, or might reasonably, wish to use the mark under challenge. [read post]
30 Dec 2021, 9:06 pm
Almost 100,000 pounds of Trader Joe’s brand chicken patties were recalled by Kent, WA-based Innovative Solutions, Inc. for possible foreign matter contamination from “bits of bone. [read post]
23 Feb 2024, 9:03 pm
The agency investigated the availability of implicated products locally by reviewing import records, coordinating with relevant authorities, and conducting checks with local traders. [read post]
25 Feb 2021, 2:35 pm
By soliciting investors, the complaint alleges that the company’s CFO falsely held himself out as a former Wall Street trader when he in fact had no such experience. [read post]
22 Aug 2014, 9:42 am
A list of all the recalled peanut and almond butter products, including Safeway, Arrowhead Mills, Kroger, Trader Joe’s, Whole Foods and MaraNatha brands, can be found here. [read post]
14 Nov 2013, 7:22 pm
As of November 12, the Centers for Disease Control and Prevention had received reports of 26 E. coli cases traced to Glass Onion products; 22 of those cases had been reported among California residents.[1] Glass Onion Catering has recalled its salads and wraps sold at Walgreens, Trader Joe’s and Whole Foods stores.[2] BACKGROUND: Marler Clark has represented thousands of victims of E. coli and other foodborne illness outbreaks since the 1993 Jack in the Box E. coli… [read post]
30 Dec 2012, 6:19 pm
On September 22, 2012 the CDC announced a multistate outbreak of Salmonella serotype Bredeney linked to Trader Joe’s Valencia Creamy Salted Peanut Butter. [read post]
24 Nov 2014, 7:47 am
On June 16, 2014, the SEC exercised its own anti-retaliation enforcement authority for the first time, charging a hedge fund advisory firm with retaliating against its head trader for reporting prohibited principal transactions to the SEC. [read post]
29 Jan 2009, 5:15 am
What is your view of the compensation paid to executives and market traders at financial institutions? [read post]
5 Oct 2010, 3:28 pm
The SEC's traditional definition of dealer excludes institutional traders like private investment funds and their advisers who are not entering into swaps as part of their regular business. [read post]
17 Feb 2021, 7:44 am
In 2016, federal investigators explored whether a hack of large law firms including Cravath, Swaine & Moore LLP had been used by insider traders. [read post]
6 Feb 2007, 1:36 pm
Feedback from firms suggests that this case has really hit home with traders who are asking compliance lots of questions about what is or is not acceptable. [read post]
20 Nov 2011, 6:44 pm
For the present UBS in particular, regulatory forces happen to squeeze them on two fronts – private banking and trader loss. [read post]
