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21 Feb 2023, 5:32 am
Commercial fundraising activities that are already regulated by financial regulators under existing legislation will not be subject to the proposed crowdfunding regulatory regime. [read post]
9 Dec 2007, 8:00 pm
Banking, Securities and Funds You want a financially sound solution? [read post]
17 May 2019, 6:06 am
Garrett (Duke University), on Monday, May 13, 2019 Tags: Banks, Corporate crime, Deferred prosecution agreements, DOJ, Financial institutions, Management, Misconduct, Non-prosecution agreement, Yates memo How We Howey Posted by Hester M. [read post]
19 Jun 2014, 8:08 am
Durable goods added 17,000 jobs in May; this area has accounted for the net job gain in manufacturing over the past year.Employment in other major industries, including mining and logging, construction, wholesale trade, retail trade, information, financial activities, and government, stayed about the same as seen during the preceding 12 months.Click Here to see graphics and tables breaking down most or all of the above statistics.John A. [read post]
28 Dec 2009, 1:23 pm
Stamer has extensive experience advising a accounting firms, law firms, banks and financial services organizations, insurers, consultants, health plans, health care providers and others about HIPAA, FACTA, and other privacy, trade secret and other information security and data breach risk management and compliance concerns. [read post]
16 Aug 2022, 9:05 pm
A., Lie, E. 2009 “What Fraction of Stock Option Grants to Top Executives Have Been Backdated or Manipulated? [read post]
18 May 2008, 6:19 pm
In particular, it examines a recent decision from a New York bankruptcy court that rejected the Section 546(e) defense in a situation involving an LBO of a private, rather than publicly traded, target company. [read post]
16 Jan 2012, 7:03 pm
Resale of Stock: Purchasers receive restricted securities, which may not be freely traded in the secondary market after the offering. [read post]
19 Nov 2013, 12:00 am
§ 106(e)(2012). [read post]
20 Jan 2010, 2:13 am
Written by: Sam E. [read post]
20 Dec 2012, 3:21 pm
Follow your corporate compliance programs and ethics policies and procedures. [read post]
20 Dec 2012, 3:21 pm
Follow your corporate compliance programs and ethics policies and procedures. [read post]
31 Jan 2015, 8:24 pm
Similarly, the International Corporate Accountability Roundtable has launched a separate but related project on corporate crimes that are linked to human rights abuses (see here). [read post]
2 Jul 2015, 5:46 am
Aguilar in the Harvard Law School Forum on Corporate Governance and Financial Regulation Recently, a fellow Commissioner issued a public dissent in two recent enforcement actions against CCOs of investment advisers. [read post]
25 Apr 2008, 8:32 am
The interface between intellectual property law issues such as trade mark law and consumer law may also be considered. [read post]
2 Nov 2018, 6:09 am
Kotler & Mark E. [read post]
16 Jan 2011, 10:38 am
See 26 CFR 1.6050I-1(e)(1). [read post]
6 Apr 2020, 11:00 am
See 26 CFR 1.6050I-1(e)(1). [read post]
15 Aug 2024, 9:01 pm
The SEC’s investigations into Ameriprise Financial Services, Edward Jones, LPL, Raymond James, and RBC were conducted by Karen E. [read post]
10 Nov 2023, 6:00 am
Last month, US regulators announced measures to allow consumers’ financial data to be shared easily, following similar reforms in Europe and Australia that make it simpler to switch bank accounts and sign up for a range of financial products. [read post]
