Search for: "International Securities Exchange"
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24 Apr 2013, 6:29 am
Securities and Exchange Commission and was the Chairman of the SEC from December 2012 to April 2013. [read post]
1 Feb 2016, 11:25 am
The Securities and Exchange Commission today announced that software manufacturer SAP SE has agreed to give up $3.7 million in sales profits to settle charges that it violated the Foreign Corrupt Practices Act (FCPA) when procuring business in Panama.An SEC investigation found that SAP’s deficient internal controls allowed a former SAP executive to pay $145,000 in bribes to a senior Panamanian government official and offer bribes to two others in exchange… [read post]
17 Oct 2018, 8:19 am
The Securities and Exchange Commission issued a press release and an investigative report on Oct. 16 cautioning public companies to consider cyber threats when implementing internal accounting controls. [read post]
29 Jun 2009, 11:38 am
The state of Massachusetts is mandating that the firms hire an independent compliance consultant to evaluate internal procedures for valuing portfolio securities and preventing the misuse of nonpublic, material data. [read post]
17 Feb 2011, 5:40 pm
This creates an incentive for market participants to move their business to international exchanges where they may be subject to less prescriptive regimes. [read post]
16 Mar 2012, 7:17 am
Availability of Staff Analysis of Market Data Related to Credit Default Swap Transactions from the Securities and Exchange Commission The staff of the Securities and Exchange Commission today has made available publicly an analysis of market data related to credit default swap transactions. [read post]
26 May 2011, 8:16 am
The final rules for the Securities and Exchange Commission's whistleblower reward program contain provisions that will protect and encourage those who report fraud.Erika Kelton of Phillips and Cohen told the New York Times that employees almost always report their concerns about misconduct and fraud to managers and supervisors first. [read post]
1 May 2022, 5:56 am
The complaint alleges that the defendants violated Sections 10(b) and 20(a) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. [read post]
1 Jul 2011, 12:38 pm
Mexico: According to the Standford Global Class Action Exchange (here), in July 2010 an amendment to the Mexican Constitution was published in Mexico's Official Gazette of the Federation providing for class actions. [read post]
25 Feb 2020, 4:56 am
” Open Source Language Schema to Connect Security Tools The Open Data Exchange Layer (OpenDXL) is an open messaging framework that over 4,100 vendors and enterprises already utilize to develop and share integrations with other tools. [read post]
28 Jun 2024, 2:20 pm
In Securities and Exchange Commission v. [read post]
16 Nov 2016, 11:24 am
The Securities and Exchange Commission (SEC) Whistleblower Program had its most successful year to date in 2016. [read post]
28 Sep 2014, 5:04 am
Securities and Exchange Commission. [read post]
22 Apr 2021, 10:39 am
The full-time position handles external and internal inquiries, and practices to IOA standards. [read post]
23 Sep 2013, 4:40 am
On September 19, 2013, the Securities and Exchange Commission published a Small Business Compliance Guide setting forth some of the ramifications of moving forward with a Reg D offering when you have a convicted felon or individual otherwise characterized as a "Bad Actor" affiliated with the issuer. [read post]
27 Jun 2017, 9:10 pm
Tjon Soei Len, Equal respect, capabilities and the moral limits of market exchange: denigration in the EU internal market [read post]
15 Sep 2010, 5:03 pm
The Securities and Exchange Commission has adopted a final rule to implement Section 989G of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Release No. 33-9142 http://www.sec.gov/rules/final/2010/33-9142.pdf). [read post]
21 Apr 2022, 1:00 pm
China has provided over 2.1 billion doses of vaccines to more than 120 countries and international organizations. [read post]
27 Feb 2024, 10:22 am
Securities and Exchange Commission (SEC), the OSC Whistleblower Program offers monetary awards to individuals who voluntarily provide the agency with original information that leads to a successful enforcement action. [read post]
13 Mar 2024, 8:46 pm
The report alleged that the actions of the Israeli Defense Force (IDF) contravene United Nations Security Council Resolution 1701 and international legal statutes. [read post]
