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25 Jan 2024, 8:35 am
The civil action, initiated by the Securities and Exchange Commission (SEC), alleged that McKelvey misappropriated over $1.7 million from two elderly brokerage customers who were close relatives. [read post]
25 Jan 2024, 4:06 am
Consideration should be given to, among other things: “(a) asset management; (b) access controls; (c) encryption; (d) communications security; (e) physical and environmental security; [and] (f) operations security. [read post]
24 Jan 2024, 9:03 pm
Securities and Exchange Commission, in Washington, D.C. [read post]
24 Jan 2024, 9:01 pm
For instance, the Commission dismisses the only timelines that are relevant to SPACs: the duration limits imposed by exchange listing rules. [read post]
24 Jan 2024, 4:29 pm
It was an active year for fraud enforcement at the Securities and Exchange Commission (SEC) and Commodities Futures Trading Commission (CFTC). [read post]
24 Jan 2024, 1:47 pm
Cadaret, Grant & Company – Sanctioned for Conflicts of Interest June 28, 2017 – The Securities and Exchange Commission (SEC) settled administrative and cease-and-desist proceedings against Cadaret, Grant & Co., Inc. [read post]
23 Jan 2024, 1:23 pm
The probe came after a voluntary document request from the US Securities and Exchange Commission focused on what ADM said was “intersegment transactions” involving its nutrition unit, which makes ingredients for human and animal foods. [read post]
22 Jan 2024, 9:05 pm
This post comes to us from Professor Sarah J. [read post]
22 Jan 2024, 9:01 pm
Alan’s legacy and work at the Commission staff still resonates on the securities industry and market participants today. [read post]
22 Jan 2024, 8:14 am
Investors who have suffered losses are encouraged to contact us at (800) 810-4262 for consultation. [read post]
21 Jan 2024, 9:01 pm
The FTC’s appeal seeks to, among other things, clarify the appropriate standard for securing a preliminary injunction under Section 13(b) of the FTC Act. [read post]
19 Jan 2024, 11:08 am
On December 12, 2023, the Department of Justice (“DOJ”) issued guidance related to the process by which companies may request the United States Attorney General authorize delays of cyber incident disclosures, pursuant to a new Securities and Exchange Commission (“SEC”) rule. [read post]
19 Jan 2024, 10:34 am
Enforcing the FCPA is a perennial priority for the Department of Justice (DOJ) and Securities and Exchange Commission (SEC), the agencies with primary responsibility for enforcing the statute. [read post]
19 Jan 2024, 7:37 am
His customer alleged in the complaint filed with SEC (Securities and Exchange Commission) that “she invested $30,000.00 in September 2021 and another $5,000.00 in August 2022 with the representative. [read post]
19 Jan 2024, 3:00 am
The money was allegedly used for day-to-day personal spending, as well as lavish vacations and gifts. [read post]
18 Jan 2024, 9:01 pm
On January 10, the Department of Justice (DOJ) and the Securities and Exchange Commission (SEC) announced parallel resolutions with SAP, a German software company, to resolve investigations into violations of the Foreign Corrupt Practices Act (FCPA). [read post]
18 Jan 2024, 11:13 am
On January 10, 2024, the Securities and Exchange Commission (SEC) announced that global software company SAP had agreed to pay $100M for violations of the Foreign Corrupt Practices Act (FCPA). [read post]
18 Jan 2024, 9:33 am
Add JP Morgan Securities to the ever-expanding list of companies the Securities and Exchange Commission (SEC) has gone after for violating the agency’s Whistleblower Protection Rule — SEC Rule 21F-17(a). [read post]
17 Jan 2024, 8:57 am
On 17 January 2024, the Basel Committee on Banking Supervision (Basel Committee) and the International Organization of Securities Commissions (IOSCO) published a report on streamlining variation margin processes and the responsiveness of initial margin models in non-centrally cleared markets. [read post]
16 Jan 2024, 9:05 pm
Securities and Exchange Commission (SEC) and Commodity Futures Trading Commission. [read post]
