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27 Sep 2011, 6:11 am
Over at Above The Law, they are debating the question of whether insider traders should go to jail. [read post]
12 Feb 2012, 9:38 am
Trader Joe’s. [read post]
30 Nov 2011, 7:30 am
As we discussed last year, the SEC initially proposed such requirements in April 2010 to identify large market participants and collect information regarding their trades in order to be able to monitor the impact of large trader activity on the securities market. [read post]
6 Mar 2012, 6:00 am
The note continues to advise that changes in trading patterns, a high volume of trade cancellations or corrections, manual trade adjustments, or unexplained profits for a particular trader or client may warrant additional scrutiny. [read post]
8 Dec 2006, 6:45 pm
INVESTOR'S BUSINESS DAILY: "The Department of Homeland Security recently warned stock traders and bankers that their online systems may be vulnerable to an al-Qaida cyberattack. [read post]
8 Mar 2012, 2:03 pm
Cohen writes: Wall Street “rewards bankers and traders for the revenue they generate by constantly selling whatever comes across their desks, regardless of its quality, is terribly, terribly broken. [read post]
14 Mar 2024, 8:12 am
On 13 March 2024, the European Parliament issued a press release stating that it had adopted its first reading position on the alternative dispute resolution (ADR) proposal, which allows consumers to, submit complaints against traders to entities offering independent, fast and affordable consumer redress. [read post]
16 Feb 2012, 3:30 am
Of course, quite often, a stockbroker or trader is in trouble because they have changed some other human being? [read post]
23 Jan 2019, 4:17 am
The former options trader at the Chicago Board of Trade was given a prison term that was approximately half the recommended federal guideline. [read post]
15 Mar 2017, 5:08 am
Following a joint FIA / European Federation of Energy Traders / Global Financial Markets Association / International Swaps and Derivatives Association letter to the European Securities and Markets Authority (ESMA) in December 2016, the trade associations have jointly submitted draft Q&As to ESMA on position reporting under Article 58 of MiFID II. [read post]
21 Feb 2008, 4:23 am
A rogue trader at Société Générale, Jérôme Kerviel, began making unauthorized transactions beginning in 2005, and lapses in the bank's internal controls allowed the trades to go undiscovered until January, according to a preliminary report released Wednesday. [read post]
10 Jul 2012, 5:38 am
. “Iranian authorities never took much notice of the traders at the bazaar — which feels like something between a stock exchange floor and an off-track betting center — until the difference between the central bank’s official rate for dollars and the street rate began to widen, lowering confidence in the rial and greatly increasing the amount of currency being traded on the unofficial market.” I don’t know how they came to get the Bette Davis knees . . . [read post]
27 Jun 2007, 2:04 am
Comparative advertisements must not be misleading Boehringer Ingelheim Ltd and Others v Vetplus Ltd Court of Appeal “No interim injunction would issue to inhibit comparative advertising, whereby one trader promoted his goods over those of a rival, unless the claimant could show the advertising was misleading and he would probably win a permanent injunction at trial. [read post]
7 Feb 2008, 4:19 am
Losses of 4.9 billion euros ($7.2 billion) sustained by Société Générale due to the actions of a rogue trader have left SocGen as a likely [...] [read post]
7 Feb 2008, 5:07 am
It is easy to dismiss Jérôme Kerviel, the rogue trader at Société Générale, as a fluke. [read post]
19 Jun 2012, 4:55 am
As CorpConsel points out in a recent piece, it’s time to improve compliance: Two recent high-profile convictions of inside traders and the government’s promise of more to come will put increased pressure on general counsel to better police their companies. [read post]
30 Jul 2018, 8:58 am
David Trader, a geriatric psychiatry specialist provided key testimony. [read post]
10 Jul 2012, 5:38 am
. “Iranian authorities never took much notice of the traders at the bazaar — which feels like something between a stock exchange floor and an off-track betting center — until the difference between the central bank’s official rate for dollars and the street rate began to widen, lowering confidence in the rial and greatly increasing the amount of currency being traded on the unofficial market.” I don’t know how they came to get the Bette Davis knees . . . [read post]
29 Sep 2008, 6:00 pm
Today, traders hit refresh on their House vote screens, the Dow drops 700 points. [read post]
2 Dec 2011, 2:05 pm
The targets are former traders at hedge funds Diamondback Capital management LLC and Level Global Investors LP, and an analyst at mutual fund company Neuberger Berman Group LLC. [read post]
