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29 Aug 2023, 7:37 am
“This can help the largest banks, brokers, exchanges, and clearinghouses understand the CFTC’s expectations under existing rules,” she said. [read post]
29 Aug 2023, 3:00 am
No returns or exchanges. [read post]
28 Aug 2023, 9:01 pm
By its terms, Clayton Act Section 8 applies to “corporations (other than banks, banking associations, and trust companies)” without reference to LLCs or partnerships or other forms of organization. [read post]
28 Aug 2023, 4:00 am
The Court had asked the Securities and Exchange Commission to offer its opinion on whether they were securities and the SEC declined to do so. [read post]
27 Aug 2023, 7:49 pm
August 2019 – Most notably, former Western International advisor Dawn Bennett, was sentenced to 20 years in prison after she was convicted on 17 counts of securities fraud, wire fraud and bank fraud after a two-week trial in Maryland in August 2019. [read post]
27 Aug 2023, 6:25 am
Wachovia Bank, Nat’l Ass’n v. [read post]
26 Aug 2023, 11:42 am
” Bank of Nova Scotia v. [read post]
25 Aug 2023, 7:02 am
And with the exception of some fixed-services, vendors like utilities that directly accept consumer bank-account payments, most merchants still need an intermediary to guarantee that a customer’s ACH funds will be available after goods are exchanged. . . . [read post]
24 Aug 2023, 8:58 am
True, Jackson opposed the bank on policy grounds, but he also denied that the Supreme Court decision in McCulloch v. [read post]
24 Aug 2023, 8:57 am
KBS Realty Advisors paid these invoices, to the tune of approximately $2,729,718, money that was funneled into Aggarwal’s bank account. [read post]
24 Aug 2023, 8:20 am
Kohn concluded by describing the impact of the recently enacted whistleblower provision of the Anti-Money Laundering Act Whistleblower Law (AML) under the Bank Secrecy Act. [read post]
24 Aug 2023, 2:14 am
Israel’s government today vowed to retaliate as attacks in the occupied West Bank increase. [read post]
22 Aug 2023, 9:00 pm
These types of loans are not publicly traded, although there have been recent efforts to create a platform or exchange to allow for such trading. [read post]
22 Aug 2023, 7:34 pm
In this respect, the New Development Bank, established by BRICS countries in 2015, is leading the way. [read post]
22 Aug 2023, 6:30 am
Adopting money market fund reform became a more significant policy priority for financial regulators – both within and outside of the SEC – following the stresses in the banking sector in early 2023 that led to three regional bank failures. [3] Similar to the reforms following the 2007-2008 financial crisis, the Amendments attempt to respond to significant market events and reflect the SEC’s understanding of the roles of money market funds in the short-term… [read post]
22 Aug 2023, 6:30 am
Adopting money market fund reform became a more significant policy priority for financial regulators – both within and outside of the SEC – following the stresses in the banking sector in early 2023 that led to three regional bank failures. [3] Similar to the reforms following the 2007-2008 financial crisis, the Amendments attempt to respond to significant market events and reflect the SEC’s understanding of the roles of money market funds in the short-term… [read post]
21 Aug 2023, 7:47 am
Ariadne has co-authored a Chapter on Securities, Commodities and Exchanges which was published in Developments in Administrative Law and Regulatory Practice in 2019. [read post]
21 Aug 2023, 7:47 am
Ariadne has co-authored a Chapter on Securities, Commodities and Exchanges which was published in Developments in Administrative Law and Regulatory Practice in 2019. [read post]
20 Aug 2023, 4:04 pm
ASIC issues first DDO stop order for failure to take reasonable steps in CFD distribution On 2 June 2023 ASIC made an interim stop order preventing a fund manager from opening trading accounts or dealing in contracts for difference (CFDs) or margin foreign exchange contracts (margin FX) to retail investors. [read post]
18 Aug 2023, 1:09 pm
Earlier this month, the SEC adopted new cybersecurity regulations that add substantially to established disclosure obligations under the Securities Exchange Act of 1934 (SEC Act). [read post]
