Search for: "Hong v. Securities and Exchange Commission"
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12 Jul 2019, 6:17 am
Securities and Exchange Commission, on Tuesday, July 9, 2019 Tags: Broker-dealers, Compliance & ethics, Conflicts of interest, Fiduciary duties, Investment advisers, Investor protection, Regulation Best Interest, Retail investors, SEC, Securities regulation, Transparency Statement on Retirement of Chief Justice Strine Posted by Jay Clayton, U.S. [read post]
14 Dec 2018, 7:16 pm
Perhaps one way is to treat internet platform companies the way one treats the business of stock exchanges. [read post]
24 Oct 2018, 4:33 pm
By way of background, on September 20th, 2017, Securities and Exchange Commission (SEC) Chairman Jay Clayton announced a data breach into the SEC’s Electronic Data Gathering and Retrieval (EDGAR) system, a vast database that contains information about company earnings, share dealings by top executives and corporate activity such as mergers and acquisitions. [read post]
16 Sep 2018, 8:06 am
Calls for coordinated cooperation with the PRC on the Belt and Road Initiative on the basis of reciprocity, sustainable development, good governance, and open and transparent rules, in particular as regards public procurement; regrets, in this respect, the fact that the Memorandum of Understanding signed by the European Investment Fund and the PRC’s Silk Road Fund (SRF) and that signed by the European Investment Bank (EIB), the Asian Development Bank, the Asian Infrastructure Investment… [read post]
15 Jul 2018, 4:05 pm
Page 73 considers data protection implications, advocating the current “Adequacy Decision” as a basis for ensuring the continued uninhibited exchange of data. [read post]
16 Mar 2018, 6:08 am
Securities and Exchange Commission, on Thursday, March 15, 2018 Tags: Accounting, Disclosure, Exchange-traded funds, Financial reporting, Investor protection, Liquidity, Mutual funds, Risk management, Securities regulation, Transparency [read post]
9 Feb 2018, 5:06 am
Securities and Exchange Commission, on Wednesday, February 7, 2018 Tags: Blockchain, CFTC, Cryptocurrencies, Exchange Act, Financial technology, ICOs, Innovation, Investor protection, SEC, Securities enforcement, Securities fraud Cryptocurrency 2018 Posted by David E. [read post]
12 Dec 2017, 4:36 pm
Securities and Exchange Commission (SEC) made two key announcements in September of 2017. [read post]
2 Oct 2017, 4:50 pm
2005: SEC v. [read post]
19 Sep 2017, 10:38 am
The group officially holds $28.6 billion offshore.The proliferation of tax haven abuse is exacerbated by lax reporting laws that allow corporations to dictate how, when, and where they disclose foreign subsidiaries, allowing them to continue to take advantage of tax loopholes without attracting governmental or public scrutiny.Consider:-A Citizens for Tax Justice analysis of 27 companies that disclose subsidiary data to both the Securities and Exchange Commission (SEC) and… [read post]
4 Jan 2017, 3:55 pm
Managers that participate in soft dollar programs should make sure that they have addressed any commission balances from the previous year. [read post]
29 Nov 2016, 12:56 pm
Iranian and American officials exchanged verbal reprimands over yet another naval incident in the Persian Gulf, Reuters writes. [read post]
11 Mar 2016, 11:18 am
Analysis, Commentary, and Additional Information The Straits Times hosted a fascinating exchange this week over China’s refusal to participate in the Philippines v. [read post]
26 Feb 2016, 11:24 am
” This flurry of diplomatic exchanges set the stage for PRC Foreign Minister Wang Yi’s previously schedule visit to Washington. [read post]
4 Jan 2016, 4:08 pm
The dust-up in Delaware over fee-shifting bylaws got started in May 2014, when the Delaware Supreme Court in the ATP Tours, Inc. v. [read post]
26 Jan 2015, 1:12 pm
Referring to counter-terrorism cases and relevant public protocols in the UK, his presentation demonstrated the complexity of state secrets, the supervision of security intelligence agencies, and the tension between human rights and national security. [read post]
4 Oct 2014, 6:50 am
” Here is Steve’s response to that post, Peter’s counter-response, and Steve’s final word in the exchange. [read post]
15 Jan 2014, 12:11 am
Department of Justice, the Commodity Futures Trading Commission, the European Commission, the Swiss Financial Market Supervisory Authority, the Hong Kong Monetary Authority, the Monetary Authority of Singapore and regulators in Brussels.[13] Significantly, over a dozen currency traders reportedly have been suspended or put on leave while the inquiries take place at Barclays (6), Citigroup (1), JP Morgan (1), Standard Chartered (1), Royal Bank of Scotland (2)… [read post]
10 Nov 2013, 11:39 am
(SFC v. [read post]
2 Dec 2012, 7:52 pm
Such an exchange of views should be useful not only for scholars and policy makers in China and India, but also for anyone interested in other BRICS countries as well: Brazil, Russia and South Africa. [read post]
