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1 Feb 2023, 9:01 pm
We saw this, for example, in the 2008 financial crisis, and have many recent examples of the continued phenomenon with companies such as FTX, Theranos, and WeWork. [read post]
31 Jan 2023, 11:24 am
Sampling involves taking part of an existing sound recording and incorporating it into a new work. [read post]
31 Jan 2023, 9:31 am
Who are the plan principals? [read post]
26 Jan 2023, 9:30 am
In the aftermath of the late-2000s financial crisis, the 2010 Dodd-Frank Act added Section 27B to the Securities Act. [read post]
25 Jan 2023, 4:00 am
The chapter’s principal authors, Morgan Ricks and Lev Menand, are my close colleagues and fellow travelers in the field of financial regulation. [read post]
23 Jan 2023, 9:01 pm
” Because market makers can earn spreads with less risk on retail orders—in light of the typically smaller size and less market information driving retail orders—these wholesalers typically do not charge retail brokers fees for this service, and in fact often pay the retail brokers for the opportunity to trade with these retail orders (called “payment for order flow” or PFOF). [read post]
22 Jan 2023, 6:59 pm
See generally footnote 252 (citing cases that incorporate defined terms into contractual provisions to make them a part of the contract.) [read post]
19 Jan 2023, 9:01 pm
Just as unwavering are the values of the Department of Justice, and our commitment to public service, to our incredible colleagues, and the pursuit of justice. [read post]
18 Jan 2023, 10:04 am
To prevent further ACATS Fraud, FINRA advises member firms that offer online account opening services to confirm that their reviews of red flags of new account fraud are incorporated into their customer onboarding process. [read post]
19 Dec 2022, 1:14 am
la restriction de la capacité de vendre activement ou passivement des composants destinés à l’incorporation à des clients qui pourraient les utiliser pour la fabrication de biens analogues à ceux qui sont produits par le fournisseur ; (ii) la restriction des fournitures croisées entre les membres du système de distribution sélective qui agissent à des niveaux commerciaux identiques ou… [read post]
25 Nov 2022, 2:37 pm
Division Legal Secretary Supervisor – Financial Crimes Division. [read post]
21 Nov 2022, 6:30 am
The Annual Report season will soon be upon us, and it is important to assess a company’s risk factors at the outset and whether recent developments, including those relating to macroeconomic, geopolitical, and public health conditions, have had (or are expected to have) a material impact on a company’s business, financial condition and results of operations.[1] Although each company will need to assess its own material risks and tailor its risk factor disclosure to its… [read post]
21 Nov 2022, 6:30 am
The Annual Report season will soon be upon us, and it is important to assess a company’s risk factors at the outset and whether recent developments, including those relating to macroeconomic, geopolitical, and public health conditions, have had (or are expected to have) a material impact on a company’s business, financial condition and results of operations.[1] Although each company will need to assess its own material risks and tailor its risk factor disclosure to its… [read post]
15 Nov 2022, 5:08 pm
He pointed out that the relationship between the officers and the corporation is subject to the law of agency and the choice of laws principals pertaining thereto. [read post]
12 Oct 2022, 9:53 am
Richard and Mary Eshelman Faculty Scholar, Professor of Law and International Affairs); (2) Rachel Chambers (University of Connecticut Business School, Assistant Professor of Business Law; Teaching Business and Human Rights Forum, Co-Director); (3) Jeremie Gilbert (University of Roehampton Law School, Professor of Human Rights Law; Roehampton Climate Network, Founding Member); (4) Cannelle Lavite (European Center for Constitutional and Human Rights, Co-Director of Business and Human Rights); (5)… [read post]
10 Oct 2022, 8:01 pm
“Relevant State agencies” means judicial bodies, competent authorities and other agencies and related services relevant to administrative supervision and enforcement of the measures referred to in this LBI to address human rights abuse, and may include courts, law enforcement bodies, regulatory authorities, administrative supervision bodies, and other State-based non-judicial mechanisms. [read post]
3 Oct 2022, 8:10 am
Similarly, some states impose director or incorporator residency requirements on DSLIs. [read post]
28 Sep 2022, 1:25 pm
The organization must not operate to financially benefit a private individual. [read post]
8 Sep 2022, 3:34 pm
The Final Rules state that the Pay Versus Performance Disclosure will not be deemed to be incorporated by reference into any filing under either the Securities Act of 1933 or the Securities Exchange Act of 1934 (the “Exchange Act”) except to the extent that the issuer affirmatively does incorporate it by reference. [read post]
29 Aug 2022, 9:30 am
As I previously reported, last March, LexisNexis announced its new API Developer Portal, a self-service portal that enables law firms to access some 99% of LexisNexis content – both raw content and metadata – to incorporate it into their own workflows and applications and combine it with their own internal and third-party data. [read post]
