Search for: "James R McDonald"
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9 Oct 2020, 6:05 am
Li (CUNY), and Michelle Liu (CUNY), on Tuesday, October 6, 2020 Tags: Deferred prosecution agreements, Management, Misconduct, SEC, SEC enforcement, Securities enforcement, Securities fraud, Securities regulation Proposed Rules Relating to the Reporting Threshold for Institutional Investment Managers Posted by Andrew R. [read post]
30 Sep 2020, 11:01 am
“Time is of the essence when it comes to reporting violations of the Commodity Exchange Act and the CFTC’s rules and regulations,” added Director of Enforcement James McDonald. [read post]
18 Sep 2020, 9:55 am
“The violations would have been difficult to detect without the whistleblower’s information and assistance,” said Division of Enforcement Director James McDonald. [read post]
18 Sep 2020, 6:13 am
Engoron, Olshan Frome Wolosky LLP, on Thursday, September 17, 2020 Tags: Board composition, Boards of Directors, California, Diversity, ESG, State law Funding the Future: Investing in Long-Horizon Innovation Posted by Sarah Williamson, Ariel Babcock, and Allen He, FCLTGlobal, on Thursday, September 17, 2020 Tags: Capital requirements, Incentives, Innovation, Long-Term value, R&D, Risk-taking, Shareholder… [read post]
26 Aug 2020, 11:16 am
“Today’s settlement sends a strong message that the CFTC will work tirelessly to protect our market participants against unlawful disclosures of their confidential information to ensure that the fairness and reliability of our markets are not compromised,” said Director of Enforcement James McDonald. [read post]
25 Aug 2020, 6:12 am
These suspicious activity reports—or SARs—serve as key tools that we, together with our regulatory partners, use to identify fraud, manipulation, and other wrongdoing in our markets—often at the earliest stages,” said CFTC Director of Enforcement James McDonald. [read post]
29 Jul 2020, 8:32 am
“We recognize that often whistleblowers come forward to report misconduct at great personal and professional risk,” stated CFTC Director of Enforcement James McDonald in the press release. [read post]
22 Jul 2020, 12:46 pm
We expect this trend to continue as our enforcement program continues to grow,” stated CFTC Director of Enforcement James McDonald. [read post]
8 Jul 2020, 9:33 am
In other action, the board: Heard a report from outside counsel on the McDonald v. [read post]
6 Jul 2020, 9:44 am
Inquiring minds wonder how the peer review committee ever became so unbalanced, but I suspect that asymmetrical evaluation of conflicts of interest had a lot to do with it.[5] [1] James Hanley, Corbett McDonald, and Margaret R. [read post]
19 Jun 2020, 3:56 pm
" James Madison explained that he kept those words out of the document because it would be "wrong to admit in the Constitution the idea that there could be property in men. [read post]
10 Jun 2020, 12:46 pm
CFTC Director of Enforcement James McDonald stated, “the Commission’s Whistleblower Program has significantly strengthened our enforcement program” and “the contribution that whistleblowers have made cannot be overstated. [read post]
10 Jun 2020, 7:45 am
As the CTFC Director of Enforcement James McDonald said, “In many instances, whistleblowers are in the best position to identify suspicious conduct. [read post]
20 Mar 2020, 6:17 am
Joint Venture Governance Index: Calibrating the Strength of Governance in Joint Ventures Posted by James Bamford, Geoff Walker, and Martin Mogstad, Water Street Partners LLC, on Friday, March 13, 2020 Tags: Board composition, Boards of Directors, Compliance & ethics, Corporate forms, ESG, Joint ventures, Surveys A Case of Mistaken Identity: Correcting the Record on EVA Posted by Subodh Mishra, Institutional Investor Services, Inc.,… [read post]
23 Feb 2020, 4:17 am
James Hood III, Attorney General of the State of Mississippi, in His Official Capacity, Case No.15-60205 (5thCir. [read post]
10 Jan 2020, 12:30 pm
Read more about North Dakota's recent crackdown on food freedom in USA Today from IJ staffers Jennifer McDonald and Daryl James. [read post]
30 Oct 2019, 5:23 pm
In a recent press release announcing a whistleblower award of $7 million, CFTC Director of Enforcement James McDonald highlighted how critical the CFTC’s whistleblower program is to its enforcement efforts, stating that “forty percent of our investigations now involve whistleblowers. [read post]
30 Oct 2019, 5:23 pm
In a recent press release announcing a whistleblower award of $7 million, CFTC Director of Enforcement James McDonald highlighted how critical the CFTC’s whistleblower program is to its enforcement efforts, stating that “forty percent of our investigations now involve whistleblowers. [read post]
30 Oct 2019, 5:22 pm
Indeed, the CFTC’s Director of Enforcement, James McDonald, stated in a recent speech that spoofing is at the “core” of CFTC’s mission. [read post]
30 Oct 2019, 5:22 pm
Indeed, the CFTC’s Director of Enforcement, James McDonald, stated in a recent speech that spoofing is at the “core” of CFTC’s mission. [read post]
