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12 Sep 2019, 3:47 am
It also states that the certification regime does not apply to a sole trader as an individual, but may apply to their employees. [read post]
11 Sep 2019, 5:51 am
According to a statement by Chairman Clayton on the CAT's status however, some progress has been made: the SROs began reporting certain data to the CAT; the SROs have published final specifications for the initial reporting of equities and options to facilitate broker-dealer reporting; and the SROs and the broker-dealer industry are working together to develop ways to conduct Large Trader Reporting. [read post]
10 Sep 2019, 3:10 pm
The Court of Justice has indeed confirmed these doubts and, held that the ‘place of infringement’ in Art 97(5) must be understood as ‘the Member State within which the consumers or traders to whom that advertising and those offers for sale are directed are located’ (AMS Neve, [65]). [read post]
10 Sep 2019, 1:43 pm
That means the sign DON LUCIANO might invoke the idea of a Mediterranean gentleman, and the trade mark holder surely considered it desirable to connect this image to its wines.Signs like JOHNNY WALKER, LORD NELSON or TRADER JOE, all of which also ostensibly refer to a person, invoke different imagery, and that difference should be part of the conceptual comparison. [read post]
9 Sep 2019, 9:55 am
Specifically, his 2017 bill would have required derivatives traders to value their swaps, options, and forwards contracts at their market rate and report them to the IRS annually for taxation. [read post]
5 Sep 2019, 6:36 am
More specifically, the question referred by the Court of Appeal (England and Wales) related to a situation in which the defendant is established and domiciled in Member State A (in this case, Spain) and advertised and offered for sales infringing goods on a website targeted at traders and consumers in Member State B (in this case, the UK). [read post]
4 Sep 2019, 4:55 pm
EIA has used undercover investigators who have talked to traders, loggers and agents. [read post]
4 Sep 2019, 4:55 pm
EIA has used undercover investigators who have talked to traders, loggers and agents. [read post]
4 Sep 2019, 10:45 am
There is speculation that traders may have been overcharged by their broker-dealers for shorting Beyond Meat. [read post]
3 Sep 2019, 11:00 pm
“Tool Without A Handle: A Duty of Candor” The law and legal professional ethics require of counsel a duty of candor in the practice of law.[1] This includes a duty to not knowingly make false statements of fact, to not conceal controlling legal authority, and to not offer evidence the lawyer knows to be false.[2] These principles are considered essential to maintaining both substantive fairness for participants in the process, and trust in the integrity of the process for… [read post]
2 Sep 2019, 3:38 am
This month’s Trade Alert considers key legal risks for traders in the Greek loan market. [read post]
27 Aug 2019, 3:14 pm
Alternatively, for those who do not meet the criteria for TN Status or an L-1, other options may be considered, such as E-1 (Treaty Trader), E-2 (Treaty Investor), H-1B (Specialty Worker), and O-1(Extraordinary Ability). [read post]
26 Aug 2019, 7:02 am
The AG countered that her ongoing investigation revealed that Bitfinex and Tether: (1) allowed some customers located in New York to transact on the Bitfinex trading platform after January 2017; (2) knowingly permitted New York-based traders to use Bitfinex; (3) agreed to loan Tether to a New York-based virtual currency trading firm as late at 2019; (4) opened accounts and used services at New York-based banks; and (5) had a physical presence in New York until at least 2018 through an… [read post]
25 Aug 2019, 12:55 pm
September 11, 2019, will mark the one-year anniversary of a clearinghouse-related event reported on in the NYT as: How a Lone Norwegian Trader Shook the World’s Financial System. [read post]
24 Aug 2019, 6:30 am
[We're moving this up, because we've received an updated version of the program. [read post]
22 Aug 2019, 3:10 pm
We can certainly anticipate that in its defense that Burford will attempt to portray itself as the victim, as the target of a short-seller hit job that was designed to reward traders who profited by decline in the price of the company’s securities. [read post]
22 Aug 2019, 10:07 am
Notwithstanding the change in the terms of service, the Attorney General also alleged that the exchange subsequently maintained “substantial ties” to New York, including the following: allowing New York-based customers and traders to continue to transact business on the trading platform after January 2017; agreeing to loan its stablecoin to another New York-based virtual currency trading platform as recently as 2019; opening accounts and utilizing services of New York-based… [read post]
21 Aug 2019, 5:03 am
Trader, 420 P.3d 343, 359-60 (Haw. 2018). [read post]
19 Aug 2019, 2:00 am
The Rule 15c2-11 files were stuck in a compliance filing cabinet and could not be independently accessed by the traders or the firm’s designated principal without requesting them from the compliance department. [read post]
16 Aug 2019, 4:32 pm
Jonathan Tepper is a former hedge fund analyst and trader, and founded Variant Perception, a consultancy. [read post]
