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1 Apr 2019, 10:29 am
First Derivative Traders, 564 U.S. 135 (2011) (blog article here), but instead disseminated it to potential investors with intent to defraud, can be held to have employed a scheme to defraud and/or engaged in an act, practice or course of business to defraud in violation of subsections (a) and (c) of Securities and Exchange Commission (“SEC”) Rule 10b-5, 17 C.F.R. [read post]
1 Apr 2019, 6:35 am
For example, a commodity trader who pays a bribe to secure business from a sovereign wealth fund or a foreign government may constitute a violation of both the CEA and the FCPA. [read post]
1 Apr 2019, 5:00 am
The defendants, James Vorley and Cedric Chanu, worked as traders at Deutsche Bank AG. [read post]
31 Mar 2019, 9:56 am
Traders and stockbrokers want to know what exchanges earn from market data; there is clamour for securities and exchange regulatory authorities to regulate market data pricing and in the US, the Securities and Exchange Commission (US-SEC) recently (October 2018) rejected increase in the price of market data. [read post]
31 Mar 2019, 4:58 am
floods the already chaotic metropolis with traders from every corner of the world (for three weeks!) [read post]
29 Mar 2019, 11:52 am
First Derivative Traders, 564... [read post]
29 Mar 2019, 7:34 am
Once again, the Department of Justice’s (DOJ) efforts to hold a trader accountable for misrepresentations made during negotiations met with stiff resistance from the courts. [read post]
28 Mar 2019, 11:25 am
First Derivative Traders said that a person “makes” an untrue statement if he or she has “ultimate authority over the statement, including its content and whether and how to communicate it. [read post]
27 Mar 2019, 11:26 am
” With regard to subsection (b), we know from the Supreme Court’s 2011 decision in Janus Capital v First Derivative Traders that only the “maker” of the statement is liable for its falsity. [read post]
27 Mar 2019, 11:23 am
First Derivative Traders. [read post]
26 Mar 2019, 1:20 pm
After months of negotiation, titans including Goldman Sachs, JPMorgan Chase, Apollo Global Management and Ares Capital have agreed to a plan that’s intended to ensure that the manufactured defaults are tied to “legitimate financial stress, not traders’ derivative bets,” according to Bloomberg. [read post]
26 Mar 2019, 12:16 pm
If it involves a wrongful interference with another’s rights as a trader that is a wrong for which an action lies. [read post]
21 Mar 2019, 9:18 am
Options teacher and trader Brad Castro, in an article on his website titled “Why I Won’t Trade Iron Condors,” made a stern warning against the strategy. [read post]
21 Mar 2019, 6:21 am
First Derivative Traders, 564 U.S. 135 (2011). [read post]
14 Mar 2019, 10:42 am
Nafta Traders, Inc. [read post]
13 Mar 2019, 7:00 am
While I am involved with the borrower or lender, Chrys has much more knowledge with the regulatory side of hedge providers and traders under the Commodity Exchange Act and the Dodd-Frank Act Regulations. [read post]
11 Mar 2019, 7:52 am
The impact of the sanctions for commodities traders and petroleum refiners—particularly in the U.S. [read post]
7 Mar 2019, 2:52 pm
Or a high-stress environment like a securities trading floor with 200 high strung traders? [read post]
7 Mar 2019, 5:30 am
Moreover, the free traders claimed to be the true heirs to the strict constructionist constitutional philosophy of the Jeffersonian revolution of 1800. [read post]
6 Mar 2019, 5:00 am
Per the Financial Times: Under this model, a European fuel trader buying Iranian oil could be matched with a European manufacturer selling machinery to an Iranian company. [read post]
