Search for: "Working Group on Securities Disclosure Authority"
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6 Nov 2008, 6:28 pm
Kennedy will decide what portions of the ten documents at issue will be released to the groups. [read post]
3 May 2013, 2:36 pm
Scott does not believe that the bills will undermine transparency by lessening the disclosure of trading data. [read post]
17 May 2020, 8:14 am
Their tool is disclosure and the surveillance necessary to make it. [read post]
10 Sep 2024, 9:47 pm
Cloud storage and remote work arrangements have increased the risk of inadvertent disclosures. [read post]
6 Jul 2015, 7:09 am
Public Works and Government Services Canada (PWGSC) initially introduced an Integrity Framework in 2012. [read post]
18 Jul 2022, 2:46 pm
I would like to thank the authors for allowing me to publish their report as a guest post on this site. [read post]
7 Aug 2007, 11:03 am
Selling away occurs when a registered representative of a broker-dealer sells financial products not authorized by the broker-dealer. [read post]
13 May 2021, 3:03 am
XBRL initiatives are also in the works. [read post]
9 Jun 2010, 12:06 am
My friend Ilene Carrie (syndicated blogger, editor at Phil's Stock World, and attorney) attended the Oregon Health Care Fraud Working Group Training Seminar and interviewed me. [read post]
4 Oct 2019, 3:00 am
Collins pleaded guilty to two of eight counts he was charged with: conspiracy to commit securities fraud and false statements to the FBI. [read post]
7 Jan 2018, 6:27 am
THIS SECTION DOES NOT APPLY TO THE DISCLOSURE OF A MINOR CRIME VICTIM’S MEDICAL OR PERSONAL IDENTIFYING INFORMATION OR TO OTHER INFORMATION THAT IS SPECIFICALLY PROTECTED FROM DISCLOSURE BY LAW. [read post]
9 Jun 2021, 8:28 am
And it leverages the use by the US authorities of its moral power to influence the conduct of US based enterprises within the global economic sphere. [read post]
29 Sep 2015, 8:00 am
As the DAA emphasized in a webinar earlier this year, all parties working together to conduct IBA share in the responsibility for compliance. [read post]
23 Jun 2009, 5:38 pm
An OTC derivative is “securities-related” when the reference is to an entity that is an issuer of securities (such as a public company), to a security itself (or a related event such as a dividend payment), to a group or index of securities or issuers, or based on related aspects of a security or group or index of securities or issuers, such as price, yield, volatility, dividend payments, or value. [read post]
27 Dec 2012, 4:35 am
She also is a widely published author and highly regarded speaker on these matters. [read post]
4 Jun 2022, 5:25 pm
Whereas if the rules for access are unknown, or constantly changing, the threat actor has less to work with. [read post]
15 Aug 2014, 5:42 am
Pat McCrory filed a new ethics and economic disclosure that now makes clear he owned at least $10,000 of Duke Energy stock on the last day of 2013, reversing disclosure filings he made in April and May. [read post]
5 Jun 2024, 8:20 am
The European Securities and Markets Authority (ESMA) has recently launched consultation processes on technical elements of the revised MiFIR pre- and post-trade transparency requirements, obligations to make data available on reasonable commercial basis and the rules for CTPs. [read post]
2 Jul 2013, 12:28 pm
She also is a widely published author and highly regarded speaker on these matters. [read post]
6 Dec 2007, 11:57 pm
[Disclosure: via my law school, I am a member of the working group.]Four Datapoints Ironically, a presentation at the annual ABA meeting (August 2007) by Lee Shulman, president of the Carnegie Foundation and one of the authors of the Educating Lawyers, was the event that crystallized my thinking. [read post]
