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16 Nov 2023, 11:46 pm
But that is mitigated by the strong incentives governments have to maintain good relations with allies and trading partners. [read post]
16 Nov 2023, 10:19 am
Realize that the size of a black box investment portfolio rivals some hedge funds and regional banks. [read post]
16 Nov 2023, 9:04 am
Collecting over $400 million in combined civil penalties from twenty-five broker-dealers, advisory firms, and credit rating agencies for violations of federal recordkeeping requirements, including: Wells Fargo Bank Scotia Capital HSBC Global technology company ABB, Ltd, agreed to pay a $75 million civil penalty to resolve charges related to an alleged bribery scheme Companies that engaged in self-reporting, self-policing, remediation, and cooperation with SEC staff upon discovery… [read post]
15 Nov 2023, 10:21 pm
In 1787, people held their wealth in land because there was no stock market or bond market yet and few banks. [read post]
15 Nov 2023, 6:26 am
The submissions contained missing or inaccurate trade data for at least 163 million transactions. [read post]
15 Nov 2023, 6:15 am
On November 13, global investment banking firm BTIG filed a lawsuit in California state court against rival company StoneX Group, alleging trade secret and breach of contract claims related to a StoneX’s recruitment of several key BTIG employees in order to gain access to valuable proprietary software code developed at BTIG. [read post]
15 Nov 2023, 6:15 am
On November 13, global investment banking firm BTIG filed a lawsuit in California state court against rival company StoneX Group, alleging trade secret and breach of contract claims related to a StoneX’s recruitment of several key BTIG employees in order to gain access to valuable proprietary software code developed at BTIG. [read post]
14 Nov 2023, 9:01 pm
The submissions contained missing or inaccurate trade data for at least 163 million transactions. [read post]
14 Nov 2023, 2:00 pm
The content also addresses key questions on oversight and supervision, advertising, marketing, usury, fraud, and unfair and deceptive trade practices. [read post]
14 Nov 2023, 2:00 pm
Federal Trade Commission (FTC) Resource Kit Access more content concerning laws within the purview of the FTC. [read post]
14 Nov 2023, 2:30 am
Upon being recognised by the BoE, overseas CCPs are able to provide clearing services to UK clearing members and trading venues. [read post]
13 Nov 2023, 9:05 pm
Assessing Potential Risks The Analytic Framework retains the eight proposed “vulnerabilities that most commonly contribute” to financial stability risks.[24]Relative to the proposal, the Analytic Framework includes additional examples of the types of “quantitative metrics” the Council may consider under certain vulnerabilities: Vulnerability Sample Metrics – Proposal Additional Metrics – Final Leverage… [read post]
13 Nov 2023, 7:00 am
“Great companies get great valuations, and we can debate what great is, but if people don’t feel good about the valuations, largely they’re not trading,” Mark says. [read post]
13 Nov 2023, 2:00 am
Fraud can involve deception to receive money, information, property, or trade secrets. [read post]
12 Nov 2023, 9:05 pm
While they are formally mutual funds, they function – and are used – more like bank accounts. [read post]
12 Nov 2023, 6:32 am
The two companies announced the completion of the merger on August 11, 2021, with Rockley Photonics Holdings Limited as the surviving publicly traded company. [read post]
12 Nov 2023, 1:00 am
That means they did not trade on any public market, so there was no public trading price to track their value. [read post]
11 Nov 2023, 4:25 am
The FSTB keynote included announcements relating to: (a) the launch of a new integrated fund platform (IFP) to be operated by the Hong Kong Stock Exchange (HKEX), to cover the front-to-back distribution life cycle of retail funds; (b) the launch of cross-boundary e-CNY applications to benefit cross-border travellers; and (c) promotion of real economy applications of virtual assets (VAs) and further development of the VA regulatory framework, including the stablecoin… [read post]
11 Nov 2023, 2:00 am
Fraud can involve deception to receive money, information, property, or trade secrets. [read post]
10 Nov 2023, 9:02 am
OCC AND THE TCPA The main agencies tasked with implementing and policing compliance with the TCPA are the FCC and Federal Trade Commission (“FTC”). [read post]
