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13 Oct 2011, 9:06 am
Naseem allegedly accessed internal computer files at the bank and rifled through colleagues’ desks in search of information. [read post]
12 Oct 2011, 6:09 pm
The second element of the program is a system of internal controls reasonably designed to monitor and identify potential areas of noncompliance. [read post]
7 Oct 2011, 11:16 am
Chilton suggested that high-frequency traders be subject to registration and information-sharing requirements, and promised harmonization with the SEC and international regulators. [read post]
6 Oct 2011, 2:00 am
Upon receiving a large trader’s Form 13H, the SEC will assign the large trader a unique large trader identification number. [read post]
4 Oct 2011, 9:46 am
Section 37.9(b)(3) i requires SEFs to have a delay between two swap orders when one party is a customer and the other a trader or in the case of two customers. [read post]
3 Oct 2011, 6:08 am
Douglas McNabb and other members of the U.S. law firm practice and write and/or report extensively on matters involving Federal Criminal Defense, INTERPOL Red Notice Removal, International Extradition and OFAC SDN Sanctions Removal. [read post]
2 Oct 2011, 6:09 pm
I'm happy to say that the candidate I'm advising is a principled free trader (and was so long before I began advising him). [read post]
30 Sep 2011, 11:06 am
International AmLaw firm Sheppard Mullin launched their Facebook page this week. [read post]
29 Sep 2011, 7:37 am
"The government's recordings have ensnared not just traders and financiers but also officers and directors of public companies, lawyers, and consultants. [read post]
28 Sep 2011, 7:25 am
The Commission was scheduled to meet on September 22nd, and then again on October 4th, to finalize a Dodd-Frank rule-making, but in recent weeks signs of internal strife have leaked into the public eye. [read post]
20 Sep 2011, 8:22 am
" For all demonization of SOX's Section 404, haven't most companies put some internal controls in place to prevent this? [read post]
20 Sep 2011, 7:41 am
(internal quotations omitted). 4. [read post]
16 Sep 2011, 6:01 am
Where are the internal controls that would prevent a trader from placing trades of the size or frequency that could result in losses of that magnitude? [read post]
6 Sep 2011, 11:21 am
So that's all very clear: He's a strong free trader, trade agreements are good, etc. [read post]
2 Sep 2011, 7:34 pm
She also conducted internal corporate investigations. [read post]
2 Sep 2011, 4:05 am
Don’t attempt to cross international borders. [read post]
1 Sep 2011, 12:50 pm
Justice Dalveer Bhandari Supreme Court of India In a landmark judgment in C. [read post]
28 Aug 2011, 4:23 pm
At the same time, international traders have been pleased to see serious progress being made regarding export license reform. [read post]
23 Aug 2011, 3:08 pm
This important question may have its first test in the pending class action against bailed-out insurer American International Group (AIG). [read post]
22 Aug 2011, 10:08 pm
Milken’s big donation has set off an internal debate at the school. ... [read post]
