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6 Jul 2022, 1:00 am
KEY POINTS FOR TRADERS 10/20 Non-Bank Lender Rules may apply and limit the number of funds or financial institutions that can act as lenders for Swiss debtors. [read post]
2 Nov 2021, 8:49 am
Foreign trusts and agency agreements will be recognised under Argentine law if the agreement has international elements. [read post]
2 Mar 2012, 4:26 pm
Written by: Ildiko Duckor and Peter Chess In light of the current regulatory environment, now more than ever, it is critical for you to comply with all of the legal requirements and best practices applicable to Investment Advisers. [read post]
3 May 2019, 10:07 am
This month’s Trade Alert considers key legal risks for traders in the Canadian loan market. [read post]
1 Dec 2021, 7:40 am
KEY POINTS FOR TRADERS No banking licence is required to lend in Venezuela. [read post]
27 Aug 2020, 7:29 am
These exceptional circumstances triggered a discussion between competition authorities on how competition in the internal market was impacted and what measures should be adopted in response to the crisis. [read post]
4 Dec 2013, 9:07 am
The International Swaps and Derivatives Association’s Dodd-Frank Documentation Initiative aims to facilitate compliance with the Dodd-Frank Act. [read post]
23 Oct 2009, 11:24 am
October 23, 2009Re: The Briefs Of The Trustee And SIPC On The Net Equity Question. [read post]
28 Mar 2010, 9:40 pm
"IOC's momentum is major, and it will surprise to the upside," LaBeouf said in a text message to the GQ article's author, Adam Sachs, using the trader lingo he apparently picked up while prepping for the film. [read post]
4 Nov 2023, 9:09 pm
In response to this investigation, Scenic Fruit Company of Gresham, Oregon voluntarily recalled frozen, organic strawberries sold to Costco, Trader Joe’s, Aldi, KeHE, Vital Choice Seafood, and PCC Community Markets in certain states. [read post]
23 Feb 2016, 7:36 am
Chair White said that, among other things, the Commission will “actively continue” its review of disclosure effectiveness, continue to bring enforcement actions relating to missing or inadequate internal corporate controls, and continue to focus on financial reporting. [read post]
9 Jul 2018, 2:31 pm
Director of Virgin Islands Bureau of Internal Revenue, Judge Hardiman’s opinion for the Court held that prior to 2004, taxpayers could establish “bona fide residence” regardless of whether their intent was to avoid tax liability or not. [read post]
16 Jun 2018, 8:26 am
The products were packaged in clear, plastic clamshell containers under several different brands or labels and distributed to Costco, Jay C, Kroger, Payless, Owen’s, Sprouts, Trader Joe’s, Walgreens, Walmart, Whole Foods/Amazon. [read post]
25 Jul 2022, 9:01 pm
Public companies and other market participants therefore need to think rigorously about how their specific business models and products interact with both emerging risks and their obligations under the federal securities laws, and tailor their internal controls and compliance practices and policies accordingly. [read post]
3 Jul 2009, 5:22 am
There are a wide range of important issues before the Commission now, but, given that I am the only thing standing between you and the fabulous weather outside, I'd like to focus my comments today on just a couple of topics affecting corporate governance that are very important to me - shareholder access and the role of the corporate secretary as internal gatekeeper. [read post]
8 Dec 2021, 7:27 am
SEC RIAs should review their internal procedures to ensure compliance with the custody rules. [read post]
15 Dec 2022, 8:00 am
SEC RIAs should review their internal procedures to ensure compliance with the custody rules.California RIAs. [read post]
8 Dec 2021, 11:27 am
SEC RIAs should review their internal procedures to ensure compliance with the custody rules. [read post]
15 Dec 2022, 4:00 am
SEC RIAs should review their internal procedures to ensure compliance with the custody rules.California RIAs. [read post]
1 Nov 2010, 7:13 am
Did you read Michael Lewis’ book, “The Big Short,” because if you did, you might remember Lewis mentioning a bond trader at Morgan Stanley that lost the investment bank $9 BILLION… more than any single trader in the history of The Street. [read post]
