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23 Dec 2021, 10:00 am
Also, relevant here is the fact that “moon” is a term used by cryptocurrency traders to identify a coin they believe will skyrocket. [read post]
23 Dec 2021, 9:59 am
While joining their Democratic colleagues, Peirce and Roisman nevertheless expressed reservations about some aspects of the proposal.Under current rules, traders can adopt a trading plan and then execute a trade the same day, leading to concerns that insiders can capitalize on material nonpublic information. [read post]
22 Dec 2021, 3:30 am
Indeed, statistical analysis shows that there is a less than one-in-one-trillion chance that the Trader Defendants’ choice to trade so frequently on earnings events tied to the EDGAR filings of the Servicers’ public company clients would occur at random. [read post]
19 Dec 2021, 4:06 pm
Every day we meet new ideas, new markets, new regulatory schemes, new traders and new customs. [read post]
The Slovak Constitutional Court on Risk Profiling and Automated Decision-Making by the Tax Authority
17 Dec 2021, 11:46 am
Every receipt issued by a sole trader or a company is in its entirety sent in real-time to a central database administered by the Tax Authority. [read post]
17 Dec 2021, 1:30 am
Such procedures could include: a discussion of the availability of the insider trading policy, the type and frequency of training about that policy, the process for determining whether a potential trader possesses MNPI, the process for creating documentation about preclearance and other decisions, the process for creating and enforcing special blackout periods, the process for reporting and investigating potential violations, and principles guiding the consequences for violations. [read post]
16 Dec 2021, 4:23 pm
“It’s such a massive chemical industry, and then there are layer upon layer of traders, brokers and freight forwarders,” says Russ Holske, the DEA’s director for the Far East, who set up the new offices in China before he retired. [read post]
15 Dec 2021, 11:50 am
For example, if a crypto trader exchanges a U.S. [read post]
15 Dec 2021, 2:08 am
., up to 4% of a trader’s annual turnover in the Member State(s) where the breach occurred). [read post]
11 Dec 2021, 12:46 pm
Peirce)Trader Indicted for Commodities Insider Trading Scheme (DOJ Release)CFTC Charges Puerto Rico Resident and His Firm for Misappropriation of Nonpublic Information and Fictitious Trading (CFTC Release)... [read post]
8 Dec 2021, 11:27 am
Clients, Friends, Associates: As we near the end of 2021, we have developed a checklist to help managers effectively oversee the business and regulatory landscape for the coming year. [read post]
8 Dec 2021, 7:27 am
Clients, Friends, Associates: As we near the end of 2021, we have developed a checklist to help managers effectively oversee the business and regulatory landscape for the coming year. [read post]
3 Dec 2021, 12:59 pm
California Court of Appeal Retains State Court Jurisdiction of BTIG Employment Retaliation Lawsuit (BrokeAndBroker.com Blog)Federal Court Sanctions Slovakian Trader and His Principals for Spoofing and Engaging in a Manipulative and Deceptive Scheme (CFTC Release)SEC Obtains Default Judgment Against Recidivist Securities Fraudster (SEC Release)Mexican Businessman Arrested for $30M Fraud Scheme (DOJ Release)Cheshire Investment Advisor Sentenced to 30 Months for Stealing More Than $600K from… [read post]
3 Dec 2021, 12:59 pm
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/6203/securities-industry-commentator/Trader Indicted for Commodities Insider Trading Scheme (DOJ Release)SEC Obtains Judgments Against Bitconnect's Lead National Promoter and His Company for Antifraud and Registration Violations (SEC Release)SEC Charges Tech Employee and His Brother-In-Law with Insider Trading (SEC Release)Russian National… [read post]
1 Dec 2021, 7:40 am
KEY POINTS FOR TRADERS No banking licence is required to lend in Venezuela. [read post]
30 Nov 2021, 9:02 pm
Included in the notices were retailers Safeway, Target, Trader Joe’s, and food brands Green Giant, Earthbound Farm (Taylor Farms), Cascadian Farms (General Mills), and Organicgirl, among others. [read post]
28 Nov 2021, 11:59 pm
New York); Trader Joe’s use of combined strawberry and apple filling in its strawberry flavored “Frosted Toaster Pastries” (N.D. [read post]
27 Nov 2021, 7:18 am
International Hacking Group Members Sentenced for SIM Hijacking Conspiracy That Resulted in the Theft of Millions in Cryptocurrency (DOJ Release)Individual Who Portrayed Himself as Experienced Stock Trader Pleads Guilty to Defrauding Investor / Defendant Solicited Investments, Then Stole the Money for Himself (DOJ Release)Former South Bay Executive Sentenced to Nearly Three Years in Federal Prison for Insider Trading and Securities Fraud (DOJ Release)Federal Court Orders California Forex… [read post]
27 Nov 2021, 7:18 am
(BrokeAndBroker.com Blog)Georgia inmate sentenced for running a multi-million-dollar fraud scheme from state prison (DOJ Release)SEC Awards Over $175,000 To Whistleblower ClaimantOrder Determining Whistleblower Award Claims)SEC Charges Swiss Trader in Two International Insider Trading Schemes (SEC Release)Cryptocurrency Trader Pleads Guilty (DOJ Release)CEO of Purported Global Biomedical Company Charged With Stealing Over $1 Million Of Victim's Money Through False Promises Of… [read post]
22 Nov 2021, 4:11 pm
Some of the schools were operated by publicly traded companies, making information about any enforcement action potentially valuable to traders on Wall Street. [read post]
