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28 Jun 2019, 6:07 am
Posted by Wes Hall, Amy Freedman, and Ian Robertson, Kingsdale Advisors, on Friday, June 21, 2019 Tags: Boards of Directors, Canada, Commodities, International governance, Proxy contests, Shareholder activism, Shareholder value Statement on the Adoption of Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants Posted by Hester M. [read post]
12 Jan 2008, 3:40 am
For more information, see International Students And Social Security Numbers (Publication No. 05-10181). [read post]
28 Jun 2021, 9:00 pm
The circumstances around Ola Bini's detention, which was fraught with due process violations described by his defense, sparked international attention and indicated the growing seriousness of security experts' harassment in Latin America. [read post]
29 Oct 2020, 11:42 am
Securities and Exchange Commission (SEC) announced a whistleblower award of over $10 million. [read post]
3 Nov 2010, 12:27 pm
Among them was the potential for the monetary incentives provided to whistleblowers by Section 21F of the Exchange Act to reduce the effectiveness of a company’s existing compliance, legal, audit and similar internal processes for investigating and responding to potential violations of the federal securities laws. [read post]
5 Sep 2014, 12:09 pm
SEC Waives Eligibility Requirement for Whistleblower, Awards $400,000 Company Failed to Address Fraud Internally On July 31, 2014, the Securities and Exchange Commission announced an award of more than $400,000 for a whistleblower who reported a fraud to the SEC after the company failed to address the issue internally. [read post]
28 Jul 2018, 9:16 am
In 2011, pursuant to authority granted under the Dodd-Frank Wall Street Reform and Consumer Protection Act, the Securities and Exchange Commission (SEC or Commission) adopted rules implementing the whistleblower provisions of Section 21F of the Securities Exchange Act of 1934 (the Whistleblower Program). [read post]
26 May 2011, 11:19 am
The Securities and Exchange Commission (SEC) has approved rules that will entitle whistleblowers to receive 10 to 30 percent of the money they help the SEC collect through enforcement actions. [read post]
29 Jun 2010, 2:51 pm
In other words, the only plaintiffs who can sue under Section 10(b) are those who purchase their securities on U.S. exchanges or in other transactions in the United States. [read post]
2 Oct 2009, 10:02 pm
Amnesty International is working on his case. [read post]
2 Sep 2022, 6:30 am
Securities and Exchange Commission, on Saturday, August 27, 2022 Tags: Accounting, Accounting standards, Audits, China, External auditors, Hong Kong, International governance, PCAOB, SEC, Securities regulation Statement by Commissioner Crenshaw on Final Rule Regarding Pay Versus Performance Posted by Caroline A. [read post]
13 Mar 2014, 4:00 am
In particular, the CFTC recommends that covered institutions: Designate a specific employee with privacy and security management oversight responsibilities; Identify, in writing, all reasonably foreseeable internal and external risks to security, confidentiality, and integrity of personal information and systems processing personal information; Design and implement safeguards, in writing, to control the identified risks; Train staff to implement the program; Regularly test… [read post]
25 Feb 2010, 2:58 am
The Financial Services Authority was entitled to assist the US Security and Exchange Commission in a share fraud investigation without subjecting its request for help to critical examination. [read post]
22 Nov 2011, 7:20 pm
Tyrone Gilliams Jr., 44, was charged with multiple violations of the Securities Act of 1933 and the Securities Exchange Act of 1934 in connection with a scheme that purported to invest in derivatives of United States Treasury securities. [read post]
24 Aug 2011, 5:46 pm
The SOX whistleblower protections were included in response to “a culture, supported by law, that discourage[s] employees from reporting fraudulent behavior not only to the proper authorities . . . but even internally. [read post]
5 Dec 2008, 12:13 am
A few weeks ago, the Securities and Exchange Commission formally proposed a road map that could result in the mandatory adoption of international financial reporting standards by US domestic financial report filers. [read post]
6 Dec 2010, 5:00 am
This post is part of an ongoing series that examines the way stock exchange independence rules influence director compensation. [read post]
4 May 2016, 5:33 pm
(Cross-posted from Exchange of Notes blog.)Filed under: Public International Law [read post]
4 May 2016, 5:33 pm
(Cross-posted from Exchange of Notes blog.)Filed under: Public International Law [read post]
6 May 2022, 8:10 am
Yet their role as broker and trustworthy intermediary is undermined by a lack of transparency of internal governmental procedures. [read post]
