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14 Nov 2017, 3:27 am
” Chairman Clayton, a seasoned securities regulation veteran and expert cautioned that many ICO platforms were susceptible to manipulation and other fraudulent practices by ICO insiders, management, and better-informed traders. [read post]
10 Nov 2017, 2:19 pm
Earlier this week, a federal grand jury in Brooklyn returned an indictment criminally charging a self-described “day trader” with various offenses in connection with an alleged computer hacking scheme involving more than 50 online brokerage accounts. [read post]
4 Nov 2017, 5:47 am
A hard rule in this respect cannot be found in national or international case law or literature. [read post]
19 Oct 2017, 3:00 am
This quote from a trader will give you some sense of how many people felt that day: I was so scared that I got $10,000 out of the bank, took it home, and stored it in the rafters. [read post]
18 Oct 2017, 7:27 am
Based on derestricted US internal communications from that time, Prof. [read post]
10 Oct 2017, 1:34 pm
Jospin joined the SEC from the law firm of Paul Hastings LLP, where he was a long-time partner in the Atlanta office with a practice focusing on securities enforcement, internal investigations, corporate transactions, and corporate governance. [read post]
2 Oct 2017, 4:50 pm
The SEC’s disclosure that its EDGAR system had been had hacked was big news last week, as was the accompanying disclosure that the information accessed may have been used for improper trading. [read post]
28 Sep 2017, 7:17 am
This means the company must work to fix the flaws in its compliance and internal controls programs that allowed the misconduct in the first place. [read post]
16 Sep 2017, 9:00 pm
Trump traders pretty much agreed to that in May in exchange for China opening its doors to U.S. beef. [read post]
10 Sep 2017, 9:00 pm
Codex standards also establishes predictability for food traders and are used by the World Trade Organization (WTO) in settling trade disputes. [read post]
4 Sep 2017, 7:21 am
Other standard terms are: rogue cop, rogue hero*, rogue lawyer, rogue operation, rogue priest, rogue radical, rogue soldier, rogue word**, rogue trader, rogue wave.When we say "rogue state," we mean "a state perceived to be flouting international law and threatening the security of other nations. [read post]
1 Sep 2017, 6:49 am
" And IB had a non-delegable duty to supervise, detect, and prevent violations of its own internal policies and FINRA rules, and to prevent harm to public investors like the Parkers, as "owners" of the trust account. [read post]
20 Aug 2017, 1:01 am
The wily traders of Venice did business with both contestants, often trading sides in order to protect their commercial interests. [read post]
17 Aug 2017, 4:12 pm
This first cut also (temporarily) excludes the overseas jurisidictions, while we do further investigations and internal mapping, but we will be adding them in due course. [read post]
16 Aug 2017, 1:01 pm
He created false accounts in her name with the Obesity Action Coalition, Pig International, Auto Trader, Diabetic Living, and Facebook, not to mention posting negative reviews of her legal skills on martindale.com and lawyers.com. [read post]
3 Aug 2017, 9:00 pm
Banning beef exports to the U.S. from Brazil, where JBS is the largest trader, were among Almanza’s last important decisions as administrator of the Food Safety and Inspection Service (FSIS). [read post]
1 Aug 2017, 3:00 am
Please email us if you would like us to add your event to this list **** August 2, 2017 Sponsor: NYHFR Event: From Trader to Whistleblower: How Tom Hardin Wound Up at the Center of Galleon’s Insider Trading Case Location: New York, NY August 15, 2017 Sponsor: 100WiF Event: Education Session No. 747: A Discussion with Marc Desmidt, CEO of Point72’s International Businesses Location: Singapore August 15, 2017 Sponsor: 100 WiF Event: Sip and Shop Event to Benefit NAMI… [read post]
28 Jul 2017, 6:00 am
Obviously, this is how high frequency traders have come to dominate the market. [read post]
28 Jul 2017, 6:00 am
Obviously, this is how high frequency traders have come to dominate the market. [read post]
27 Jul 2017, 9:30 pm
” Zaring argued that the response will lie primarily in local regulation that “will be created and applied as the result of an international process. [read post]
