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20 Nov 2023, 9:01 pm
In this case, the Ponzi scheme presumption allows the Court to presume that BLMIS made the initial transfers with actual intent to defraud because Madoff has admitted to operating a Ponzi scheme.32 In addition, the court noted that prior decisions of the District Court in the BLMIS case established that section 546(e) does not apply to transfers [read post]
17 Nov 2023, 5:26 am
Under the final rule, a PEC is broadly defined as a publicly traded or non-publicly traded company that collects capital investments from individuals or entities and purchases a direct or indirect ownership share of a provider. [read post]
15 Nov 2023, 6:26 am
E. [read post]
14 Nov 2023, 9:01 pm
” In fiscal year 2023, the SEC obtained orders for $4.949 billion in financial remedies, the second highest amount in SEC history, after the record-setting financial remedies ordered in fiscal year 2022. [read post]
14 Nov 2023, 9:04 am
In FY 2022, “the most common complaint categories reported by whistleblowers were Manipulation (21%), Offering Fraud (17%), Initial Coin Offerings and Cryptocurrencies (14%), and Corporate Disclosures and Financials (13%),” according to the agency. [read post]
14 Nov 2023, 6:31 am
A S H A R E H O L D E R P R O P O S A L T O W A T C H Golden parachutes cushion corporate leaders from the financial risks of a sudden exit by promising substantial severance packages, particularly when there is a change in control. [read post]
14 Nov 2023, 6:31 am
A S H A R E H O L D E R P R O P O S A L T O W A T C H Golden parachutes cushion corporate leaders from the financial risks of a sudden exit by promising substantial severance packages, particularly when there is a change in control. [read post]
13 Nov 2023, 9:05 pm
”[19]The Interpretive Guidance states that the Council expects to “continue addressing most risks through its collaboration with primary financial regulators” and will base any nonbank financial company designation on “data-driven analysis that reflects the distinctive aspects of the company, its market, and its existing regulation. [read post]
10 Nov 2023, 2:00 pm
The report also points out that despite ILOAT Judgment 4551 of July 2022, the staff representation and SUEPO continue to be without access to mass e-mails. [read post]
10 Nov 2023, 6:00 am
Last month, US regulators announced measures to allow consumers’ financial data to be shared easily, following similar reforms in Europe and Australia that make it simpler to switch bank accounts and sign up for a range of financial products. [read post]
10 Nov 2023, 6:00 am
But he concedes that this is a Herculean ask, and offers as a second-best alternative the creation of a new tech bureau within the Federal Trade Commission, which after a few years could be spun off into a separate agency. [read post]
9 Nov 2023, 10:08 pm
., were a corporation based in New York and owned the domain name www.hindustan.com. [read post]
3 Nov 2023, 7:12 am
CORPORATE AND FINANCIAL MARKETS LAW DLT-Based Trading Venues and EU Capital Markets Legislation: State of the Art and Perspectives Under the DLT Pilot Regime by F. [read post]
3 Nov 2023, 6:00 am
” During the hearing, lawmakers queried corporate, trade group and consumer advocate witnesses about the evolving payments and fintech issues, and the regulatory environment for those payments strategies . . . . [read post]
27 Oct 2023, 9:25 pm
Financial accommodation – Before providing any financial accommodation to clients for investing in VA-related products, the intermediary should satisfy itself of the client’s ability to meet the obligations arising from leveraged or margin trading in VA-related products. [read post]
24 Oct 2023, 9:01 pm
But it is clear that we cannot reverse those trends and enhance Americans’ trust in our financial institutions through our efforts alone. [read post]
24 Oct 2023, 4:36 pm
Interestingly, the two corporate Claimants also survived the Defendants’ application even though they had not produced any evidence of financial loss (despite promising to provide a schedule of such loss, which did not materialise). [read post]
22 Oct 2023, 5:58 pm
A person who carries on a ‘financial services business’ in Australia must hold an AFSL covering the provision of the financial services (unless an exemption applies) and meet the disclosure and conduct requirements as prescribed in the Corporations Act. [read post]
20 Oct 2023, 2:40 pm
The Audit Rule requires RIAs to obtain annual audited financial statements for each of its fund clients. [read post]
19 Oct 2023, 7:06 pm
" (NIEO ¶ 4(e)).And, of course, the underlying premise remains the same. [read post]
