Search for: "International Securities Exchange"
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7 Jan 2020, 9:19 am
Firms must also take steps to ensure that their representatives follow all securities rules and regulations, as well as internal policies and procedures. [read post]
7 Mar 2014, 3:22 pm
It was from this legislation that the Securities Exchange Commission was formed. [read post]
7 Aug 2010, 12:01 pm
”As an example, the paper points to a Fox Business Network suit against the SEC that seeks internal agency documents about its botched investigations of Bernard Madoff and Allen Stanford. [read post]
26 Aug 2014, 7:12 am
Waiving one of the whistleblower award eligibility requirements, the Securities and Exchange Commission recently awarded more than $400,000 to a whistleblower who reported a fraud to the SEC after the company failed to address the issue internally. [read post]
6 Apr 2010, 11:11 am
The Securities & Exchange Commission has had a bounty program for whistleblowers in place since 1989, but has made only five payments for a total of $159,537.A report from the SEC's Inspector General says that "the current SEC bounty program is not fundamentally well-designed to be successful. [read post]
17 Feb 2021, 1:16 pm
Security and Exchange Commission in Miami, said if Kuba’s allegations are true, the whistleblower complaint effectively laid out a blueprint to bring these types of cases to court.James Sallah of Sallah Astarita & Cox, said if true, the allegations in the complaint, specifically of accounting fraud and deficiency of internal controls, could be the basis of federal securities law violations if they made their way into public documents and are known… [read post]
19 Mar 2009, 4:06 pm
You have total control over those stored messages when you have Exchange Server running internally. [read post]
15 Nov 2010, 7:50 am
Securities and Exchange Commission (SEC), false certifications as the CEO and CFO of a publicly traded company, aggravated identity theft, and engaging in unlawful financial transactions. [read post]
15 Nov 2010, 7:50 am
Securities and Exchange Commission (SEC), false certifications as the CEO and CFO of a publicly traded company, aggravated identity theft, and engaging in unlawful financial transactions. [read post]
12 Feb 2015, 12:46 pm
Securities and Exchange Commission released a Risk Alert addressing cybersecurity issues at brokerage and advisory firms, along with suggestions to investors on ways they can protect themselves and their online accounts. [read post]
13 Oct 2018, 7:21 am
Securities and Exchange Commission. [read post]
12 Jul 2022, 2:14 pm
Count I alleges that all of the defendants violated Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5; Count II alleges that Graf and Dee are liable under Section 10(b) and Rule 10b-5(a) for employing a “device, scheme, or artifice to defraud”; and Count III alleges that all of the individual defendants violated Section 20(a) of the Exchange Act. [read post]
28 Feb 2011, 8:57 pm
During the summer of 2010, The Heyman Center gave me an opportunity to work at the Enforcement Division of the Hong Kong Securities and Futures Commission (SFC). [read post]
1 Aug 2020, 4:01 pm
On July 31, 2020, the Federal Register published the final Volcker Rule covered funds amendments promulgated in June by the federal financial services regulators (the Federal Reserve Board, the Federal Deposit Insurance Corporation, the Securities and Exchange Commission, the Office of the Comptroller of the Currency, and the Commodity Futures Trading Commission). [read post]
3 Feb 2012, 3:00 am
Morrison held that Section 10(b) of the Securities Exchange Act of 1934 did not provide a private cause of action in “foreign-cubed” cases—cases where foreign plaintiffs sue foreign defendants for misconduct in connection with securities traded on foreign exchanges (hence “foreign cubed”). [read post]
5 May 2011, 1:24 pm
On May 2, 2011, a derivative complaint was filed against eleven members of the Board of Directors of Johnson & Johnson alleging breach of fiduciary duty, mismanagement and violations of the federal securities laws based on the company's recent settlements with the Department of Justice and the Securities Exchange Commission regarding violations of the Foreign Corrupt Practices Act. [read post]
24 Sep 2024, 9:01 pm
Securities and Exchange Commission. [read post]
11 May 2022, 9:01 pm
It’s good to be back with the International Swaps and Derivatives Association (ISDA) again. [read post]
28 Oct 2011, 8:07 am
Next week’s London Conference on Cyberspace will include a closed session on international security. [read post]
22 Jun 2011, 12:58 pm
The Securities and Exchange Commission recently released the final versions of the Dodd-Frank whistleblower regulations, to become effective on August 12th. [read post]
