Search for: "Matter of Barclay"
Results 121 - 140
of 403
Sort by Relevance
|
Sort by Date
22 Jan 2018, 4:18 pm
”[7] Accordingly, the Second Circuit vacated and remanded for the district court to “reconsider defendants’ evidence in light of the Barclays standard. [read post]
20 Nov 2017, 2:33 pm
LX belongs to a subset of alternative trading systems known as “dark pools,” which permit investors to trade securities in a largely anonymous matter. [read post]
12 Oct 2017, 3:39 am
It could forego cross examination and still raise the matter in its final brief. [read post]
15 Sep 2017, 11:51 am
Barclays Capital Inc., for alleged anti-fraud violations based on alleged overbilling of advisory fees and excess mutual fund sales charges, which resulted in $97 million monetary relief. [read post]
3 Aug 2017, 10:00 am
Costs matter. [read post]
1 Jul 2017, 12:00 pm
” That is, President Trump is precluded only from receiving benefits in exchange for services provided to a foreign state in his official capacity as president, or—and this is crucial, given the subject matter of the OLC opinions—services provided “in a capacity akin to an employee of a foreign state. [read post]
23 Jun 2017, 8:40 am
The example further assumes that the investor is in his or her retirement years.The retirement portfolio consisted of the following indexes: S&P 500, Russell 2000 Index, MSCI EAFE Index, Dow Jones REIT Index, S&P GSCI, Barclays Aggregate Bond Index and 90-day U.S. [read post]
31 May 2017, 3:34 am
Peikin has done high-profile defense work for Barclays PLC and Goldman Sachs Group Inc. [read post]
24 Apr 2017, 3:36 am
In anticipation of the institution of proceedings by the SEC but without admitting or denying the findings, Barclays, Wong, and Lee each submitted an Offer of Settlement, which the federal regulator accepted.In the Matter of Barclays Capital, Inc. [read post]
21 Apr 2017, 4:59 am
Barclays Bank PLC, et al., 16-239. [read post]
13 Apr 2017, 9:23 pm
Bloomberg’s “Gadfly” columnist, Lionel Laurent, recapped the matter and concluded that the CEO “has dealt Barclays’s and his own personal credibility a big blow. [read post]
24 Mar 2017, 3:00 am
Clayton to recuse himself on enforcement matters related to former clients, such as Goldman Sachs Group Inc. and Barclays PLC, as well as companies represented by his firm before the SEC. [read post]
6 Feb 2017, 5:00 am
RBS was liable as principal.RBS was ordered to pay an $85 million civil monetary penalty, the smallest fine for the four ISDAFIX cases, which range from $115 million (Barclays) to $250 million (Citibank). [read post]
30 Dec 2016, 5:24 am
No endorsement 2,405,000 Telegraph & Sunday Telegraph David & Frederick Barclay Billionaires. [read post]
27 Dec 2016, 12:28 pm
.'” I guess better advice would be to install a mental filter that keeps you from using email in the first place for sensitive matters. [read post]
18 Nov 2016, 8:07 am
” So the FATF matters. [read post]
15 Sep 2016, 4:44 am
For that matter, what about aviation? [read post]
21 Aug 2016, 12:41 pm
I was so rapidly deputizing new subject matter experts from my firm to assist our clients with pressing needs, that it became obvious we needed a unique multi-disciplinary team approach to this technology. [read post]
19 Aug 2016, 7:02 am
The powers are defined as a matter of common law and not statute. [read post]
27 Jun 2016, 3:48 pm
If there are more instances of irrational panic, like today’s run on Barclays’ shares, which had to stop trading after an 8% loss, then the situation may be out of the control of anyone to manage successfully. [read post]
