Search for: "Hong v. Securities and Exchange Commission"
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11 Dec 2010, 12:39 pm
A Hong Kong appeals court has ruled that it is not appropriate for the tribunal reviewing disciplinary decisions of the Securities and Futures Commission to guide itself by analogy to criminal proceedings. [read post]
25 Jul 2022, 4:10 am
United States Securities and Exchange Commission, United States of America, Respondents (2Cir Opinion)... [read post]
15 Oct 2021, 7:38 am
The Commission consists of nine Senators, nine Members of the House of Representatives, and five senior Administration officials appointed by the President. [read post]
4 Aug 2022, 9:37 am
In Hong v. [read post]
10 Nov 2013, 11:39 am
(SFC v. [read post]
2 Sep 2022, 6:30 am
Securities and Exchange Commission, on Saturday, August 27, 2022 Tags: Accounting, Accounting standards, Audits, China, External auditors, Hong Kong, International governance, PCAOB, SEC, Securities regulation Statement by Commissioner Crenshaw on Final Rule Regarding Pay Versus Performance Posted by Caroline A. [read post]
9 Aug 2022, 3:15 am
Here’s the intro from this Sheppard Mullin blog on the decision: In Hong v. [read post]
16 Dec 2022, 6:30 am
Securities and Exchange Commission, on Thursday, December 15, 2022 Tags: corporate disclosure, Insider trading, Institutional Investors, Rule 10b-5-1, SEC, SEC enforcement [read post]
16 Dec 2022, 6:30 am
Securities and Exchange Commission, on Thursday, December 15, 2022 Tags: corporate disclosure, Insider trading, Institutional Investors, Rule 10b-5-1, SEC, SEC enforcement [read post]
20 Oct 2023, 6:30 am
Securities and Exchange Commission, on Saturday, October 14, 2023 Tags: Enron, Rule 13f-2, SEC, Section 13(f)(2) Statement by Chair Gensler on Final Rules Regarding Short Sale Activity Posted by Gary Gensler, U.S. [read post]
20 Oct 2023, 6:30 am
Securities and Exchange Commission, on Saturday, October 14, 2023 Tags: Enron, Rule 13f-2, SEC, Section 13(f)(2) Statement by Chair Gensler on Final Rules Regarding Short Sale Activity Posted by Gary Gensler, U.S. [read post]
2 Sep 2019, 6:05 am
The G7 Declaration on Hong Kong instead is not a legal document per se. [read post]
11 Oct 2011, 7:58 pm
The SFC website today released the result of a Securities and Futures Appeal Tribunal hearing where two individuals associated with sponsoring an IPO in Hong Kong were banned from the industry for substantial periods of time. [read post]
2 Aug 2012, 6:08 pm
The securities commissions in British Columbia, Alberta and Quebec have each issued separate blanket orders exempting certain issuers from application of Multilateral Instrument 51-105 Issuers Quoted in the U.S. [read post]
23 Nov 2022, 5:04 pm
In this case, those tropes touch on human rights, sustainability, national security, and the protection of vital global economic corridors. [read post]
15 Dec 2011, 12:22 am
In Dugal v. [read post]
19 Feb 2021, 9:30 pm
Brummer, Georgetown Law, delivered the keynote address in the Securities and Exchange Commission’s observance of Black History Month. [read post]
23 May 2021, 8:37 am
European Parliament resolution of 20 May 2021 on Chinese countersanctions on EU entities and MEPs and MPs (2021/2644(RSP))The European Parliament,– having regard to its previous resolutions and reports on the situation in China and EU-China relations, in particular those of 21 January 2021 on the crackdown on the democratic opposition in Hong Kong(1) and of 17 December 2020 on forced labour and the situation of the Uyghurs in the Xinjiang Uyghur Autonomous Region(2)… [read post]
21 Dec 2022, 6:03 am
Title V of Division AA of the FY23 appropriations bill would provide for a registration exemption for small business mergers and acquisitions brokers by amending Exchange Act Section 15(b) to add a new subsection (13). [read post]
24 Jul 2020, 6:10 am
Securities and Exchange Commission, on Thursday, July 23, 2020 Tags: Testimony by Commissioner Pierce for Senate Nomination Hearing Posted by Hester M. [read post]
