Search for: "International Securities Exchange"
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6 Sep 2012, 8:01 am
The Securities and Exchange Commission ("SEC") announced Friday it had instituted administrative proceedings against three former executives of Stanford Group Co. [read post]
9 Jun 2022, 2:44 pm
Here's the abstract: The International Atomic Energy Agency, which sends inspectors around the world to prevent states from secretly developing nuclear bombs, has one of the most important jobs in international security. [read post]
1 Aug 2018, 5:31 am
To Beijing’s eyes, the international order is deteriorating at a moment when China’s need for international stability and security is greater than ever. [read post]
10 Mar 2018, 8:15 am
Somers, the Supreme Court resolved a circuit split on the question of whether the anti-retaliation protections for whistleblowers under the Dodd-Frank Act extend to individuals who report allegations of misconduct internally or only to those who report such allegations directly to the Securities and Exchange Commission (the “SEC” or the “Commission”). [read post]
29 Jun 2010, 5:49 am
Conference on Transnational Securities Class Actions The British Institute of International and Comparative Law will host... [read post]
18 Apr 2011, 9:57 am
Interestingly, as noted by as a recent study conducted by PwC (here), continued litigation is expected regarding the application of Morrison to non-exchange traded securities such as derivatives and over-the-counter ADRs.Given the bar on non-U.S. traded securities one would expect to see fewer class actions against international issuers. [read post]
9 Jul 2012, 4:05 pm
District Court for the District of Columbia has rejected the Securities and Exchange Commission’s lawsuit, which sought Securities Investor Protection Corporation protection for the investors that were defrauded in R. [read post]
24 May 2019, 9:49 am
The Securities and Exchange Commission awarded more than $4.5 million to a whistleblower whose tip triggered the company to review the allegations as part of an internal investigation and subsequently report the whistleblower’s allegations to the SEC and another agency. [read post]
17 Dec 2010, 12:29 pm
They say they're worried that the new whistleblower law, which provides for a bounty to anyone who reports fraud to the Securities and Exchange Commission that results in monetary penalties, will undermine their internal compliance procedures. [read post]
23 Jan 2007, 7:46 am
Small companies may get a reprieve when it comes to complying fully with the Sarbanes-Oxley Act of 2002, a Securities and Exchange Commission official said today.Speaking at a New York State Society of CPAs conference in New York, SEC chief accountant Conrad Hewitt said that accounting legislation could be extended past 2008 if the costs still exceed the benefits of the law, according to Reuters.The SEC currently requires companies with a public market capitalization of less than… [read post]
8 Sep 2022, 8:07 am
Security Council (the Article 51 letters are here and here). [read post]
28 Sep 2016, 8:27 am
Securities and Exchange Commission, the bank reportedly set its internal trading limits too high, so they were ineffective and caused market disruptions on at least 15 occasions from late 2012 to mid-2014 . [read post]
1 Jun 2013, 6:58 am
Securities and Exchange Commission. [read post]
10 May 2013, 6:52 am
Securities and Exchange Commission. [read post]
12 Aug 2014, 4:36 pm
Securities and Exchange Commission recently announced the latest whistleblower bounty awarded under the Dodd-Frank Act, which authorizes rewards for original information about violations of securities laws. [read post]
19 Dec 2007, 9:40 am
The Securities and Exchange Commission has halted a fraudulent global pyramid scheme praying on the Hispanic community. [read post]
14 Nov 2016, 6:23 am
Sloan Colt Professor of Banking and International Finance at Columbia Business School. [read post]
24 Mar 2014, 11:18 am
While the best solution to end-to-end security is to have a dedicated, institutional staff dealing with high-level security, few legislatures have sufficient internal awareness of the threats nor a budget to take that step. [read post]
14 Aug 2020, 3:07 pm
Securities and Exchange Commission (SEC) charged international insurance company AmTrust Financial Services, Inc. [read post]
22 Jul 2019, 9:09 am
In two mortgage-backed securities settlements reached with the US Securities and Exchange Commission (SEC), Nomura Securities International will collectively pay customers about $25M. [read post]
