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5 Jan 2018, 5:35 am by Cynthia Marcotte Stamer
§ 164.308(a)(1)(ii)(B);  21CO failed to implement procedures to regularly review records of information system activity, such as audit logs, access reports, and security incident tracking reports as required by 45 C.F.R. [read post]
26 Dec 2017, 3:52 pm by Bill Marler
Through his work, he has secured over $600,000,000 for victims of E. coli, Salmonella, Listeria, Botulism and other foodborne illnesses. [read post]
26 Dec 2017, 5:00 am by John Jascob
Under one theory, the shareholders alleged that Citigroup’s board failed to oversee loans made by Banamex (a subsidiary) to a borrower that perpetrated a $400 million fraud on Citigroup by securing loans from Banamex based on fraudulent accounts receivable. [read post]
21 Dec 2017, 9:22 pm by Dan Flynn
When the Walt Disney Co., which owns ABC, later reported financial information to the Securities and Exchange Commission (SEC). [read post]
18 Dec 2017, 2:06 pm by Adam Weinstein
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Masood Azad (Azad), in May 2017, was terminated by his employer First Allied Securities, Inc. [read post]
15 Dec 2017, 1:02 pm by Green, Schafle & Gibbs
The findings stated that the firm and Pronk aggressively promoted and recommended the company’s common stock to prospective investors to profit from the firm’s undisclosed investment banking relationships with the company and their undisclosed arbitrage of the company’s securities, which created a financial incentive for the firm and Pronk to recommend the common stock to customers.Network 1 Financial Securities Inc. [read post]
15 Dec 2017, 9:01 am by CFM Admin
We recommend that firms discuss the annual review with their outside counsel or compliance firm, who can provide guidance about the review process as well as a template for the assessment and documentation. [read post]
15 Dec 2017, 9:01 am by CFM Admin
We recommend that firms discuss the annual review with their outside counsel or compliance firm, who can provide guidance about the review process as well as a template for the assessment and documentation. [read post]
14 Dec 2017, 10:14 am by Bill Marler
Through his work, he has secured over $600,000,000 for victims of E. coli, Salmonella, and other foodborne illnesses. [read post]
12 Dec 2017, 4:36 pm by Kevin LaCroix
The company, Munched, Inc. halted its ICO after being contacted by the SEC, and agreed to an order in which the Commission found that its conduct constituted unregistered securities offers and sales. [read post]
6 Dec 2017, 1:19 pm by ligitsec
105 S.Ct. 2218 85 L.Ed.2d 588 HARPER & ROW, PUBLISHERS, INC. and the Reader’s Digest Association, Inc., Petitionersv.NATION ENTERPRISES and the Nation Associates, Inc. [read post]
6 Dec 2017, 6:11 am by Joy Waltemath
In its December 2012 Latino Express, Inc. ruling, the NLRB adopted the acting general counsel’s proposed remedies requiring employers to reimburse the excess income taxes paid out by an employee as a result of having received a lump-sum backpay award and the reporting of that backpay allocation to the Social Security Administration. [read post]
5 Dec 2017, 6:30 am by Michael B. Stack
Learn their key strategies and tangible practices that drive documented and sustainable results at their companies. [read post]
30 Nov 2017, 10:00 am by Jack Goldsmith, Robert D. Williams
” The two countries have differing political-economic systems and differing conceptions of national security; and they appear to have very different understandings of the deeply ambiguous 2015 agreement. [read post]
28 Nov 2017, 12:19 pm by Zuri Blackmon
  The court held that, unlike a secured claim, the plan could not provide for payment of postpetition interest on a non-dischargeable tax. [read post]