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31 Jan 2022, 12:46 pm
KEY POINTS FOR TRADERS Banking licence required from China Banking and Insurance Regulatory Commission. [read post]
31 Jan 2022, 2:35 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/6275/securities-industry-commentator/Court Finds FINRA Arbitration Process Not Fundamentally Fair (BrokeAndBroker.com Blog)CFTC Charges Texas Resident with Misappropriating Confidential Information and Participating in a Brokerage Kickback Scheme (CFTC Release)Former President of Energy Company Indicted for Commodities Insider Trading and Kickback Schemes… [read post]
30 Jan 2022, 5:25 am
Online marketplaces must ensure that consumers can purchase safe products online, MEPs say, strengthening the obligation to trace traders (the “Know Your Business Customer” principle). [read post]
28 Jan 2022, 10:48 am
On January 27, 2022, the United States Court of Appeals for the Second Circuit acquitted two former traders, Matthew Connolly and Gavin Campbell Black, who had been convicted by a jury for wire fraud as well as conspiracy to commit bank and wire fraud in a scheme to manipulate the London Interbank Offered Rate (“LIBOR”). [read post]
27 Jan 2022, 3:30 am
Large active traders are likely to hate this, because it’s harder for them to make money if they have to reveal strategies to the public too soon. [read post]
24 Jan 2022, 3:58 pm
Tolleson Raw Beef Salmonella Outbreak Lawsuits – Mulitstate (2018) Jewel Deli Salmonella Outbreak Lawsuit – Illinois (2014) Jimmy John’s & Tiny Greens Organic Farms Salmonella Outbreak Lawsuits – Nationwide (2010) Jimmy John’s Sprouts Salmonella Outbreak and Litigation – Multistate (2018) Kellogg’s Honey Smacks Salmonella Lawsuits – Multistate (2018) KFC Salmonella Outbreak Lawsuit – Colorado (2002) Kratom Salmonella Outbreak and Litigation… [read post]
24 Jan 2022, 6:30 am
High-Level Summary for Shareholder Activists Proposed Section 10B of the Securities Exchange Act of 1934, as amended, is structured as a large trader position reporting rule that would be broadly applicable to security-based swap positions, including positions in equity-based swaps, debt-based swaps, security index-based swaps and various combinations thereof. [read post]
23 Jan 2022, 5:44 pm
The list of suspicious traders got shared with the companies and the shared last names were a sure giveaway. [read post]
23 Jan 2022, 4:04 am
His previous novel had been called Confessions of a Porn King, and the one before that had been called Confessions of a Child Slave Trader. [read post]
22 Jan 2022, 11:31 pm
The Issue If you’re in the habit of reviewing California residency cases (and only a tax attorney specializing in the field or a masochist would be), you will occasionally come upon a reference to the Franchise Tax Board’s “Integrated Nonfiler Compliance” system, sometimes called the INC program. [read post]
21 Jan 2022, 10:32 am
Traders at NatWest, a banking and financial services office, engaged in multiple fraud schemes across its offices, in violation of a 2017 non-prosecution agreement for foreign currency market manipulation. [read post]
21 Jan 2022, 10:32 am
Traders at NatWest, a banking and financial services office, engaged in multiple fraud schemes across its offices, in violation of a 2017 non-prosecution agreement for foreign currency market manipulation. [read post]
20 Jan 2022, 1:42 pm
Did you know that the New York Stock Exchange was requiring traders to sign a COVID-19 waiver prior to entering the trading floor? [read post]
20 Jan 2022, 12:16 pm
According to professors Christine Hurt and Paul Stancil of the Brigham Young University Law School, “[c]ourts have not uniformly concluded whether short sellers can prove loss causation,” and they conclude that “short sellers should not benefit from the Basic presumption; therefore, their inclusion in any prospective class of typical traders should jeopardize class certification. [read post]
20 Jan 2022, 6:15 am
Coinbase Global Class Action For example, Dogecoin cryptocurrency traders (collectively, “Traders”) recently brought a class-action lawsuit against Coinbase Global, Inc. [read post]
18 Jan 2022, 5:53 am
Better Markets believes the 15 minute and next day reporting time-frames are weak (and should be further minimized) in light of high frequency traders’ ability to manipulate the system in seconds. [read post]
17 Jan 2022, 9:01 pm
Projects will help small-scale farmers, producers, traders and governments to access global and regional markets for food and agriculture products. [read post]
17 Jan 2022, 8:04 am
Judge Pregerson reasoned that the traders had purchased the Toshiba common stock in Japan specifically for the plaintiffs’ ADR transaction; had there been no ADR transaction, the traders would not have advanced monies to acquire the common stock shares. [read post]
14 Jan 2022, 10:08 am
The truth is that any monetary-policy intervention must be mediated through the financial system, a complex organism made up of millions of individual bankers, pension savers, fund managers, private-equity investors, day traders and others, all with their own incentives. [read post]
14 Jan 2022, 9:07 am
MiFID II covered all bankers, traders, fund managers, exchange officials and brokers and they had to abide by MiFID II regulations. [read post]
