Search for: "Phillips v. Securities and Exchange Commission"
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5 Oct 2015, 1:00 am
In the Supreme Court, I’ll take Kennedy (Kennedy v The Charities Commission [2014] UKSC 20) for several reasons. [read post]
9 Jan 2015, 5:00 am
Majority of RIAs should move under state regulation: Study by Mark Schoeff Jr. in InvestmentNews Shifting oversight of more registered investment advisers from the Securities and Exchange Commission to states would increase exam coverage at less cost than establishing third-party reviewers, a new report asserts. [read post]
21 Oct 2014, 6:03 am
As the Financial Industry Regulatory Authority (FINRA) and the Securities Exchange Commission (SEC) have recently noted, these products may not be as safe and stabile as advertised. [read post]
15 Aug 2014, 10:37 am
Phillip Powers acted as an escrow agent without registering as a broker-dealer. [read post]
4 Nov 2013, 9:46 am
And there are legitimate parallels between the vehicle safety crisis of the 1960s and today’s software security conundrum. [read post]
25 Oct 2013, 1:50 am
Although one was beloved and one was reviled, they both were innovators so today I will look at five trends in both Foreign Corrupt Practices Act (FCPA) compliance programs and Department of Justice (DOJ) and Securities and Exchange Commission (SEC) enforcements. [read post]
23 Sep 2013, 12:50 pm
Phillip J. [read post]
23 Apr 2013, 6:28 am
Gonne or Phillip K. [read post]
11 Apr 2013, 3:33 pm
The EEOC Determined in Mia Macy v. [read post]
4 Apr 2013, 9:00 am
Kaplan Shannon Rose Selden Each fund manager is designated with a risk rating by the Securities and Exchange Commission. [read post]
4 Apr 2013, 9:00 am
Kaplan Shannon Rose Selden Each fund manager is designated with a risk rating by the Securities and Exchange Commission. [read post]
1 Mar 2013, 11:56 am
In an Account of Phillip Securities PTE LTD., and Certain Unknown Traders in the Securities of Nexen, Inc. in an Account of Citibank NA A/C HK 4Case number: 12-cv-5786 (United States District Court for the Southern District of New York)Case filed: July 27, 2012Qualifying Judgment/Order: November 7, 2012 12/7/2012 3/7/2013 2012-129 SEC v. [read post]
2 Oct 2012, 1:08 pm
The Securities and Exchange Commission (SEC) Office of the Whistleblower has today issued seven (7) new Notices of Covered Actions. [read post]
24 May 2012, 6:51 am
High frequency trading is spreading from securities to other markets like futures, currencies, derivatives, and debt instruments and to the overseas exchanges. [read post]
21 May 2012, 4:54 am
Brighton Festival (Brighton Dome, Corn Exchange). 30 May, 9am – 7.30pm: Conference: ‘After phone hacking, what next? [read post]
14 May 2012, 4:33 am
On 8, 9 and 10 May 2012 Supreme Court heard the appeal in the phone hacking privilege against self-incrimination case of Phillips v Mulcaire. [read post]
8 May 2012, 6:42 am
Securities and Exchange Commission to appoint a receiver (the “US Receiver”) over the assets of SIB, Allen Stanford and other individuals who were allegedly running the scheme. [read post]
14 Mar 2012, 2:00 am
Securities and Exchange Commission, 451 F.3d 873 (D.C. [read post]
13 Jan 2012, 1:00 am
She was killed during an exchange of fire between two gunmen, ‘B’ (also known as Bandana Man), and Mr Gnango. [read post]
28 Nov 2011, 8:57 pm
On October 26, 2011, the Chicago Mercantile Exchange ("CME") performed a spot audit on MF Global. [read post]
