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7 Apr 2016, 8:11 am by Theodore R. Flo and Justin Angelo
He stated that, while the two agencies cooperate, they each have their own statutory mandates and that they set priorities independently. [read post]
2 May 2012, 8:19 am by Doug Cornelius
Another source is the whistleblower program under Dodd-Frank and the financial incentive for whistleblowers. [read post]
22 Jan 2016, 6:13 am
Sullivan, Ropes & Gray LLP, on Sunday, January 17, 2016 Tags: Compliance and disclosure interpretation, Derivatives, Investment Company Act, Investor protection, Leverage,Mutual funds, No-action letters, Private funds, Risk, Risk management, Rule 18f-4, SEC, SEC rulemaking, Securities Regulation, Swaps PECO v. [read post]
28 Sep 2023, 9:02 pm by Josephine A. Phillips
The Office emphasized that this change is needed in light of the landmark Obergefell v. [read post]
6 Feb 2012, 2:30 am by INFORRM
Mr Gervase Duffield v The Independent, Clause 1, 01/02/2012; Ms Hayley Quinn v Daily Mail, Clause 1, 01/02/2012; Mr Alex Scott v The Times, Clause 1, 01/02/2012; Mr Alex Scott and Mr James Elliott v The Sun, Clause 1, 01/02/2012; Mrs Jane Clarke v Northwich Guardian, Clause 5, 01/02/2012; Mr Peter Vince-Lindsay v Daily Mail, Clause 1 01/02/2012. [read post]
13 Feb 2012, 1:30 am by INFORRM
The Financial Times has reproduced New International CEO Tom Mockridge’s memo to staff here (subscription required), which states “We must take care not to prejudge the outcome of the police interviews. [read post]
5 Apr 2018, 8:24 am by CFM Admin
Further, the Chairman stated most ICOs to date that he has seen have been offers and sales of securities. [read post]
23 Jan 2012, 2:00 am by INFORRM
Half-day seminar on legal knowledge in a digital age, with speakers including Geoffrey Robertson QC, Hugh Tomlinson QC, Heather Brooke, Mike Dodd and Adam Wagner. [read post]
2 Sep 2014, 4:27 am by Kevin LaCroix
Supreme Court held in Fifth Third Bank v. [read post]