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18 Nov 2016, 7:37 am
Four Companies to Watch for ‘Trump Risk’ by Matt Kelly in Radical Compliance Last week two companies became the first public filers to cite the incoming Trump Administration as a risk worth disclosing in the Risk Factors section of their quarterly reports. [read post]
18 Nov 2016, 1:00 am
Posted by Evgeny Lyandres, Boston University, on Sunday, November 13, 2016 Tags: Banks, Collusion, Firm valuation, Foreign banks, Investment banking, IPOs, Offer pricing, Public firms, Underwriting ETF Trading and Informational Efficiency of Underlying Securities Posted by Lawrence R. [read post]
17 Nov 2016, 9:30 pm
Securities and Exchange Commission (SEC) who oversaw over 50 significant rulemakings related to financial regulation and 2,850 enforcement actions, but who has been criticized by progressive groups as being too lenient towards some large banks, announced that she will step down at the end of the Obama administration, two years before the end of her term—a move that will give President-elect Donald Trump the opportunity to appoint a new SEC Chair and may make it… [read post]
17 Nov 2016, 4:39 pm
The post The Rise of Collective Shareholder Actions in Europe appeared first on The D&O Diary. [read post]
17 Nov 2016, 12:23 pm
And the Iranians believe these primary sanctions are discouraging international banks from entering the Iranian market for fear of being barred from the U.S. market. [read post]
16 Nov 2016, 8:20 am
The post Financial Advisor Malpractice Team Accepting Cases Against Merrill Lynch For Material Nondisclosures in Sales of Bank of America Strategic Return Notes appeared first on Stock Market Loss. [read post]
16 Nov 2016, 8:20 am
The post Financial Advisor Malpractice Team Accepting Cases Against Merrill Lynch For Material Nondisclosures in Sales of Bank of America Strategic Return Notes appeared first on Stock Market Loss. [read post]
16 Nov 2016, 8:20 am
The post Financial Advisor Malpractice Team Accepting Cases Against Merrill Lynch For Material Nondisclosures in Sales of Bank of America Strategic Return Notes appeared first on Stock Market Loss. [read post]
16 Nov 2016, 5:49 am
Mainstreet's claim was for an expense titled `Goodwill credit in regard to card #[----] involved in the Security Risk Issue,’ with details of what appear to be 9 separate credit card charges. [read post]
15 Nov 2016, 9:30 pm
First, it sought to find out whether agencies had defined their CISOs’ roles in accordance with federal law and guidelines. [read post]
15 Nov 2016, 10:58 am
According to DeBruin’s BrokerCheck profile, he first entered the securities industry in 1996. [read post]
13 Nov 2016, 5:46 pm
Trump’s Dodd-Frank Act roll back efforts are likeliest to focus on deregulating financial institutions and to try to allow “banks to lend again. [read post]
12 Nov 2016, 7:42 am
And she also uploaded this week’s episode of Rational Security, the "The First Day of the Rest of Our Lives" Edition. [read post]
11 Nov 2016, 8:50 am
As first reported yesterday by Michael Levine, Tesco Bank (owned by Britain’s biggest retailer) stopped online transactions on Monday after hackers stole money from 9,000 accounts. [read post]
11 Nov 2016, 8:20 am
Of greater concern will be securing U.S. support for efforts to contain Iran’s role in the region. [read post]
11 Nov 2016, 4:07 am
Morgan Securities LLC (collectively, “Lead Underwriters”). [read post]
11 Nov 2016, 3:00 am
It’s hard to do live the life you want to live when you owe a bank $150,000. [read post]
10 Nov 2016, 12:40 pm
Quinta Jurecic flagged an upcoming Hoover Book Soiree on Bill Banks’ new book, Soldiers on the Homefront: The Domestic Role of the American Military. [read post]
8 Nov 2016, 12:40 pm
As part of the asset management function, the executor may have to liquidate or run a business or manage a securities portfolio. [read post]
8 Nov 2016, 11:24 am
What may well prove to generate the most concrete results in terms of advancing cybersecurity regulation are the recent cyberattacks directed at banks in the region using the SWIFT inter-bank messaging system, reportedly causing losses of US$81 million to a Bangladesh bank. [read post]
