Search for: "E*TRADE Financial Corporation"
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13 Dec 2016, 9:30 pm
Rachel E. [read post]
11 Dec 2016, 5:21 pm
The benefit does not need to be financial or tangible in nature. [read post]
9 Dec 2016, 10:27 am
The FAA is legislation that provides for the financial administration of the Federal Government, establishment and maintenance of Federal Government accounts and control of Crown corporations. [read post]
8 Dec 2016, 11:55 am
Enlarge (credit: Klaus with K) A former IT specialist at Expedia has admitted he used his privileged position to access executives' e-mails in an insider stock-trading scheme that netted almost $330,000 in illegal profits, prosecutors said. [read post]
7 Dec 2016, 12:44 pm
Corporations are treated like people in most contexts, and this one is no different. [read post]
Ruminations 66/Democracy Part 37: "Las Ideas no se Matan;" Thoughts on the Death of Fidel Castro Ruz
26 Nov 2016, 8:27 pm
(Pix © Larry Catá Backer 2016)"Querido pueblo de Cuba. [read post]
25 Nov 2016, 1:01 am
Rosen and Charles E. [read post]
22 Nov 2016, 2:04 pm
The role of financial institutions: participants will take a closer look at how human rights intersect with capital markets and explore the responsibility of financiers to drive respect. [read post]
13 Nov 2016, 5:46 pm
Many of the larger questions – foreign and diplomatic affairs, trade plans, military security, economic policy — are more appropriately addressed elsewhere. [read post]
11 Nov 2016, 6:52 am
Posted by HLS Forum on Corporate Governance and Financial Regulation, on Friday, November 11, 2016 Editor's Note: This roundup contains a collection of the posts published on the Forum during the week of November 4–November 10, 2016. [read post]
8 Nov 2016, 11:24 am
The dimensions of cybersecurity regulation here are broad and complex, involving geopolitics and trade issues that go beyond fundamental concerns about securing data, systems, and infrastructure from attack. [read post]
7 Nov 2016, 6:30 am
FINRA explains its rationale for creating the new CAB category by noting that there are corporate financing firms that solely advise companies on M&A, advise issuers on raising capital in private placements with institutional investors, or provide corporate advisory services on a consulting basis. [read post]
2 Nov 2016, 4:57 am
., the firm targets business services and financial processing companies with revenue between $20 million and $200 million. [read post]
27 Oct 2016, 8:48 am
Compliance with the Privacy and Security Rules of the Health Insurance Portability & Accountability Act (HIPAA) is a living process that requires employer and other health plans, health insurers, health care providers and healthcare clearinghouses to recurrently reevaluate their HIPAA enterprise risk and timely act to mitigate security threats to electronic (ePHI) and other protected health information and other HIPAA compliance concerns on an ongoing basis. [read post]
21 Oct 2016, 1:00 am
Langevoort, Georgetown University Law Center, on Thursday, October 20, 2016 Tags: Behavioral finance, Compliance & ethics, Disclosure, Diversity, Information environment, Insider trading, Investor protection, Market efficiency, Misconduct, Overconfidence, Securities regulation Voting Standards Are Not that Standard Posted by Daniel E. [read post]
19 Oct 2016, 1:04 pm
Well known for her extensive work with health care, insurance and other highly regulated entities on corporate compliance, internal controls and risk management, her clients range from highly regulated entities like employers, contractors and their employee benefit plans, their sponsors, management, administrators, insurers, fiduciaries and advisors, technology and data service providers, health care, managed care and insurance, financial services, government contractors and… [read post]
19 Oct 2016, 6:27 am
You could rely on staff to do these functions, but you would face the inevitable threat of human error and up to $10 million per corporate offence. [read post]
12 Oct 2016, 12:12 pm
Yesterday, in PHH Corporation v. [read post]
28 Sep 2016, 4:43 pm
Commodities Futures Trading Commission awarded more than $10 million to a whistleblower, the third award the agency made under its whistleblower program, and agency’s largest to date. [read post]
28 Sep 2016, 11:44 am
In developing these rules, the Commission staff consulted with the Financial Stability Oversight Council (FSOC), the Commodity Futures Trading Commission (CFTC), the Board of Governors of the Federal Reserve System and the Federal Deposit Insurance Corporation (FDIC). [read post]
