Search for: "Working Group on Securities Disclosure Authority" Results 161 - 180 of 2,439
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13 Jan 2021, 9:25 am by Renae Lloyd
  The Financial Industry Regulatory Authority’s findings stated that Michael Tavel purportedly participated in private securities transactions away from his member firm without providing a written disclosure to the firm and he allegedly falsely attested to the firm that he had not solicited any unapproved private placements. [read post]
23 Oct 2019, 1:27 pm by Renae Lloyd
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Franklin, Tennessee. [read post]
22 Feb 2023, 1:07 pm by Dennis Crouch
  It is also highly relevant to mediation and settlement conferences, as well as to discovery into legal analysis and work product related to various assertion, defenses, and damages doctrines. [read post]
21 Aug 2013, 7:50 am by James Hamilton
The legal framework should protect the authorities and their current and former employees and agents against criminal and civil actions for breach of confidentiality based on the disclosure of information if the disclosure was made in accordance with the legal gateways, including any applicable conditions or safeguards.Where legal gateways are conditional on reciprocity, meaning that disclosure of information is only permitted if the jurisdiction of the recipient… [read post]
13 Feb 2020, 6:51 am by John Jascob
By Lene Powell, J.D.The European Securities and Markets Authority (ESMA), the EU’s securities markets regulator, has published a new strategy describing how ESMA will place sustainability at the core of its activities by embedding Environmental, Social, and Governance (ESG) factors in its work. [read post]
11 Dec 2014, 1:35 am by Jon Gelman
Securities and Exchange Commission rules that carry out procedures required by the 2010 Dodd-Frank financial reform law to protect whistleblowers and curb retaliation against them by employers, lawyers said.The law created a private cause of action for whistleblowers whose employers retaliate against them for lawfully providing information to the SEC, or making disclosures protected under the Sarbanes-Oxley governance law. [read post]
24 Feb 2023, 5:30 am by The White Law Group
The White Law Group is investigating potential securities claims involving First Allied Securities. [read post]
12 Mar 2018, 12:42 am by Kevin LaCroix
I welcome guest post submissions from responsible authors on topics of interest to this blog’s readers. [read post]
6 Jul 2017, 12:02 pm by Renae Lloyd
The SEC staff states that Henn, who has worked at Barclays since 2008, and Alfaro, who worked at First Bank Puerto Rico Securities before moving to Barclays in 2013, allegedly violated securities and municipal bond rules on fraud, deception and misrepresentation during the sale of Puerto Rico bonds. [read post]
7 May 2019, 1:48 pm by Mikhaila Fogel
Matthew Kahn shared a Lawfare Podcast bonus episode, in which Jack Goldsmith discusses “Of Privacy and Power, The Transatlantic Struggle Over Freedom and Security” with the book’s authors, Henry Farrell and Abraham Newman. [read post]
24 Feb 2023, 12:58 pm by Cynthia Marcotte Stamer
Organizations and their leaders risk, federal criminal liability from violations of an ever-growing multitude of federal tax, securities, cyber liability, labor and employment, safety, environmental and other laws. [read post]
9 Jun 2014, 6:50 am
  However,  it is sometimes possible to use disclosure as a means of provoking global discussion of issues and to induce states to reconsider the value of their internal positions, just as the process works for disciplining corporate behaviors  (Larry Catá Backer, From Moral Obligation to International Law: Disclosure Systems, Markets and the Regulation of Multinational Corporations, 39 Georgetown Journal of Internatio [read post]
29 Apr 2021, 5:01 am by Michael Kans
” This study significantly addresses the security implications of data brokers—a break from the norm, given that most of the focus on data brokers to date has been on the commercial uses of available data, typically with regard to marketing or targeted advertising, rather than the availability and potential use by security or intelligence services, especially U.S. adversaries or malign groups. [read post]
30 Jul 2020, 7:04 am by David Cosgrove
The attorneys at Cosgrove Law Group, LLC have decades of experience interpreting securities regulations, auditing firm compliance, and responding to regulatory investigations. [read post]
2 Aug 2021, 10:37 am by The White Law Group
  When brokers abuse client accounts or conduct transactions that violate securities laws, the brokerage firm they are working with may be liable for investment losses. [read post]
11 Sep 2012, 1:36 am by Kevin LaCroix
Rick is a Member of the Cozen O’Connor law firm and he is also the co-author of the CyberInquirer blog. [read post]
22 Nov 2013, 10:13 am by D. Daxton White
A graphic timeline illustrates work history and marks disclosure events, such as customer complaints, suspensions, and disciplinary actions. [read post]