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26 Oct 2023, 7:00 am
The Securities and Exchange Commission (SEC) recently released the 2024 Examination Priorities from the Division of Examinations, formerly known as the Office of Compliance Inspections and Examinations. [read post]
26 Oct 2023, 6:31 am
Following the exchange about transfers, however, things went progressively south. [read post]
25 Oct 2023, 3:56 am
French President Emmanuel Macron suggested the international coalition set up to fight the self-styled Islamic State militant group could be repurposed to fight Hamas. [read post]
24 Oct 2023, 9:01 pm
Those of you who work in the compliance function are leaders inside your organization and through proactive internal engagement you will be better prepared to discharge your duties. [read post]
22 Oct 2023, 9:59 pm
As government-recognized specialists in their field, they are uniquely qualified to perform certain tasks—such as preparing audited or reviewed financial statements, representing taxpayers before the Internal Revenue Service (IRS), and filing reports with the Securities and Exchange Commission—that non-CPAs cannot do. [read post]
22 Oct 2023, 9:01 pm
’”[12] The court also explained that the plain text of Section 10(b) differs significantly from that of other provisions of the federal securities laws that do allow for a private action based solely on an Item 303 violation—namely, Sections 11 and 12(a)(2) of the Securities Act, which address misstatements or omissions in registration statements and prospectuses.[13] Unlike Exchange Act Section 10(b), Securities Act Sections 11 and 12(a)(2)… [read post]
22 Oct 2023, 5:58 pm
A key objective will be appropriately aligning Australia’s digital asset regulatory framework with international jurisdictions. [read post]
20 Oct 2023, 5:14 pm
Therefore, some EV charger companies like ChargePoint have adopted internal regulations and earned certifications from the International Organization for Standardization (ISO) based on its comprehensive information security and cyber-risk management. [read post]
20 Oct 2023, 4:17 am
The post Early Edition: October 20, 2023 appeared first on Just Security. [read post]
20 Oct 2023, 3:30 am
The “fundamental purpose” of the Exchange Act is “implementing a philosophy of full disclosure,” Levinson, 485 U.S. at 230 (internal quotation marks and citation omitted)—not just the disclosure of information sufficient to state a securities fraud claim. [read post]
19 Oct 2023, 9:05 pm
The Securities and Exchange Commission (SEC) adopted new rules to provide greater transparency around short selling, an activity where investors bet that a stock’s price will fall. [read post]
19 Oct 2023, 9:40 am
Securities and Exchange Commission (SEC) examiners in the coming year. [read post]
18 Oct 2023, 9:01 pm
Securities and Exchange Commission (SEC) announced a US$19 million settlement with the investment adviser DWS Investment Management Americas Inc. [read post]
18 Oct 2023, 6:10 am
An International Artificial Intelligence Agency? [read post]
18 Oct 2023, 3:58 am
The stock exchange expected the company would have issues, but nothing like this. [read post]
17 Oct 2023, 10:02 am
Patent Office issued the following 297 patents to persons and businesses in Indiana in August 2023: Patent Number… [read post]
17 Oct 2023, 2:03 am
Security measures are also heightened, as these providers are equipped with state-of-the-art systems to safeguard sensitive employee data in accordance with international standards. [read post]
16 Oct 2023, 4:12 pm
On September 27, 2023, the Securities and Exchange Commission (the “SEC”) announced charges against six officers, directors, and major shareholders of public companies (“insiders”) for failing to timely report and file disclosures related to (i) their holdings in public company stock and (ii) transactions they undertook involving public company stock. [read post]
16 Oct 2023, 3:25 pm
Those differences are the product of collaboration between Governor Newsom, the Save Local Restaurants coalition, and the Service Employees International Union (SEIU). [read post]
16 Oct 2023, 5:50 am
” Yet, even when the international law grounds for national security actions are contested, architects of those actions typically use the language of international law to make their case. [read post]
