Search for: "In Re Securities and Exchange Commission"
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27 Jun 2019, 7:43 am
Whether you’re an employee, an observer of or a victim of foreign corrupt practices, you can qualify as a CFTC whistleblower. [read post]
24 Jun 2019, 11:59 am
” The definition of an investment contract is “an investment of money in a common enterprise, with an expectation of profits based solely on the efforts of the promoter” (Securities and Exchange Commission v. [read post]
16 Jun 2019, 7:35 am
Securities and Exchange Commission (SEC) or the PBOC to audit Chinese companies on Chinese soil is an offense against Chinese government sovereignty. [read post]
14 Jun 2019, 5:20 am
The privilege’s rationale, to allow lawyers and clients to exchange information and advice freely, echoes the policies articulated in Upjohn. [read post]
14 Jun 2019, 1:14 am
In a Statement of Objections issued today, the CMA has provisionally found that the four estate agents: agreed that they would all apply minimum commission rates for residential property sales exchanged confidential pricing information held meetings and colluded to make sure that they were all enforcing and maintaining the agreed minimum commission rates. [read post]
10 Jun 2019, 5:16 am
The clock is ticking for brokers-dealers to modify their operations to comply with advice reform regulations approved earlier this week by the Securities and Exchange Commission. [read post]
8 Jun 2019, 7:05 pm
This was particularly so with respect to the role of the state in fostering a goal of national development that required a strong re-evaluation of economic and political arrangements that now appeared one sided (the America First project). [read post]
7 Jun 2019, 6:36 am
In December 2017 The Securities and Exchange Commission (SEC) Connecticut-based investment advisory firm and its principal, McClure, with breaching their fiduciary duties and defrauding advisory clients by repeatedly purchasing securities that generated significant amounts of undisclosed compensation. [read post]
7 Jun 2019, 6:09 am
Securities and Exchange Commission, on Wednesday, June 5, 2019 Tags: Broker-dealers, Conflicts of interest, Disclosure, Fiduciary duties, FINRA, Investment advisers, Investor protection, Retail investors, SEC, SEC rulemaking, Securities regulation Statement on Final Rules Governing Investment Advice Posted by Robert J. [read post]
5 Jun 2019, 12:01 pm
Securities and Exchange Commission. [read post]
21 May 2019, 10:38 am
Stockbroker’s Senior Designations According to the Security and Exchange Commission’s website (SEC), neither they or the Financial Industry Regulatory Authority (FINRA) “endorse professional designations or titles such as “senior specialist” or “retirement advisor” that some financial professionals use to market themselves. [read post]
20 May 2019, 5:49 am
On April 25, 2018, the European Commission published a series of communications related to data trading and AI, including one called “Towards a Common European Data Space” that came with a working document: “Guidance on Sharing Private Sector Data in the European Data Economy”. [read post]
16 May 2019, 9:01 pm
But commission voted along party lines and produced a tie vote, which dismisses the complaint instead of opening a full-scale investigation. [read post]
13 May 2019, 6:51 pm
Securities and Exchange Commission, Uber noted that the independent contractor status of its drivers “is currently being challenged in courts and by government agencies in the United States and abroad. [read post]
13 May 2019, 7:39 am
Eligible Structures While the word “eligible” is not in the statutory language listed above, we’re going to examine it first, because it directly relates to what constitutes a “structure” is in the eyes of FDEP. [read post]
10 May 2019, 6:17 am
Securities and Exchange Commission, on Wednesday, May 8, 2019 Tags: Broker-dealers, Capital formation, Cybersecurity, Human capital, Investor protection, Retail investors, SEC, Securities enforcement, Securities regulation, US Senate Cyber Lessons and #MeToo Risk Posted by Laurie Hays and Jamie Singer, Edelman, on Thursday, May 9, 2019 Tags: #MeToo, Board oversight, Boards of… [read post]
3 May 2019, 1:00 pm
Since the Nixon administration, the Securities and Exchange Commission has refused to settle civil or administrative enforcement actions unless defendants agree to lifetime gag orders preventing them from criticizing the SEC. [read post]
2 May 2019, 9:05 pm
Securities and Exchange Commission, Ford Motor Company disclosed that it is being criminally investigated by the U.S. [read post]
1 May 2019, 4:47 am
In recent months, the European Parliament and the European Commission have started down this path. [read post]
27 Apr 2019, 3:46 am
[They’re] still buying, using investing. [read post]
