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24 Aug 2021, 11:13 am
The Claimants also alleged that UBS and its team of options traders conducted the YES program with virtually no supervision or compliance oversight and with inadequate risk controls. [read post]
23 Aug 2021, 10:00 pm
A recent US Securities and Exchange Commission (SEC) settled enforcement action that found that a hedge fund acted as an unregistered “dealer” has blurred the traditional line between dealers and traders. [read post]
23 Aug 2021, 10:00 pm
A recent US Securities and Exchange Commission (SEC) settled enforcement action that found that a hedge fund acted as an unregistered “dealer” has blurred the traditional line between dealers and traders. [read post]
23 Aug 2021, 10:00 pm
A recent US Securities and Exchange Commission (SEC) settled enforcement action that found that a hedge fund acted as an unregistered “dealer” has blurred the traditional line between dealers and traders. [read post]
23 Aug 2021, 10:00 pm
A recent US Securities and Exchange Commission (SEC) settled enforcement action that found that a hedge fund acted as an unregistered “dealer” has blurred the traditional line between dealers and traders. [read post]
23 Aug 2021, 10:00 pm
A recent US Securities and Exchange Commission (SEC) settled enforcement action that found that a hedge fund acted as an unregistered “dealer” has blurred the traditional line between dealers and traders. [read post]
23 Aug 2021, 10:00 pm
A recent US Securities and Exchange Commission (SEC) settled enforcement action that found that a hedge fund acted as an unregistered “dealer” has blurred the traditional line between dealers and traders. [read post]
19 Aug 2021, 9:25 am
Rather, Amazon appears to be following a playbook similar to the one embraced by grocers Aldi and Trader Joe’s. [read post]
18 Aug 2021, 12:00 pm
According to the CFTC, from 2016 to 2017 the individuals falsely represented GTC to potential and actual customers by claiming the company “employed ‘master traders’ who had years of experience trading ‘crypto currency,’ and used ‘cutting edge trading robots’ to trade Bitcoin for customers ‘24 hours a day, 7 days a week. [read post]
17 Aug 2021, 10:15 am
.; its principal, Marc Bistricer; and its trader, Paul Zogala (the respondents), for providing erroneous order-marking information that caused executing brokers…Read the Full Press ReleaseHave a securities law question? [read post]
16 Aug 2021, 10:44 am
Trader Joe’s Co., 4 F.4th 874 (9th Cir. 2021) Trader Joe’s markets its store brand Manuka honey as “100% New Zealand Manuka Honey” or “New Zealand Manuka Honey,” but Moore alleged that because Trader Joe’s Manuka Honey actually consists of only between 57.3% and 62.6% honey derived from Manuka flower nectar, Trader Joe’s engaged in “false, misleading, and deceptive marketing” of its Manuka honey. [read post]
9 Aug 2021, 9:27 am
According the Federal Trade Commission, almost 7,000 crypto traders lost over $80 million between October 2020 and March 2021. [read post]
9 Aug 2021, 9:03 am
The amendments to the law amend the definition of financial institutions in the AMLA, under Section 6110(a), to include art and antiquities traders, thereby holding them to the same reporting standards as financial institutions under the BSA. [read post]
9 Aug 2021, 9:03 am
The amendments to the law amend the definition of financial institutions in the AMLA, under Section 6110(a), to include art and antiquities traders, thereby holding them to the same reporting standards as financial institutions under the BSA. [read post]
9 Aug 2021, 7:50 am
They are challenging the panel’s unanimous ruling that said their “extremely wide net” made it implausible that all the bank entities, including Citigroup Inc and Credit Suisse AG, and traders participated in a seven-year conspiracy. [read post]
7 Aug 2021, 9:03 pm
Ville Itälä, OLAF Director-General, said illicit, counterfeit and adulterated alcohol can cause real damage to law-abiding manufacturers and traders in the European Union and pose a health risk to consumers. [read post]
5 Aug 2021, 9:03 pm
The commission advised consumers who purchased the affected products to return them to the supplier and told traders who have stocks of the cans to stop selling them. [read post]
5 Aug 2021, 11:10 am
It does so without affecting the reporting obligations placed on brokers and traders of digital assets. [read post]
4 Aug 2021, 6:43 am
KEY POINTS FOR TRADERS Banking licence generally required for lending activities. [read post]
22 Jul 2021, 12:03 pm
One Montana elementary school used IEFA funds to purchase the book “Squanto and the Miracle of Thanksgiving,” which tells the story of English traders who captured a 12-year-old Native American boy, Squanto, and sold him into slavery. [read post]
