Search for: "Securites and Exchange Commission"
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1 Jul 2010, 2:00 am
It creates a powerful new consumer financial protection bureau and widens the purview of the Securities and Exchange Commission to broaden regulation of hedge funds and credit rating agencies. [read post]
16 Dec 2010, 8:59 am
They had a ”Lend to securitize” business model, and they sold enormous amounts of subprime loans to Wall Street for this purpose. [read post]
18 Sep 2008, 4:25 pm
Look, a few years ago, a Republican appointee to the Securities Exchange Commission, Bill Donaldson, ordered hedge funds to simply register with the SEC. [read post]
11 Mar 2016, 6:14 am
Securities & Exchange Commission, on Saturday, March 5, 2016 Tags: Asset-backed securities, Credit risk, Dodd-Frank Act, EU, Europe, International governance, Investor protection,Risk management, Risk oversight, SEC, Securities Regulation, Securitization, Transparency NYSE Rule on Reporting by Foreign Private Issuers Posted by Stuart H. [read post]
1 Dec 2020, 12:48 pm
March 2019 – According to a cease and desist order, the Securities and Exchange commission charged Calton & Associates, Inc. with breaches of fiduciary duty and inadequate disclosures in connection with its mutual fund share class selection practices and the fees it and its associated persons received. [read post]
18 Nov 2022, 6:30 am
Securities and Exchange Commission, on Wednesday, November 16, 2022 Tags: Corporate fraud, ESG, Esg governance, ESG Performance, Investment Advisers Act, SEC enforcement Representations & Warranties, Fraud, and Risk Shifting: An Analytical Framework Posted by Steven L. [read post]
18 Nov 2022, 6:30 am
Securities and Exchange Commission, on Wednesday, November 16, 2022 Tags: Corporate fraud, ESG, Esg governance, ESG Performance, Investment Advisers Act, SEC enforcement Representations & Warranties, Fraud, and Risk Shifting: An Analytical Framework Posted by Steven L. [read post]
17 Sep 2013, 9:30 pm
(That said, an American Accounting Association study on the Securities Exchange Commission (SEC) indicates that enforcement increases when SEC lawyers are able to migrate to industry-defending firms.) [read post]
26 Feb 2010, 2:04 pm
When the investment scheme fell apart in mid-1994, the Securities and Exchange Commission (“SEC”) filed a civil enforcement action against Hickey, resulting in a consent decree that included a $1.1 million disgorgement payment. [read post]
16 Feb 2010, 12:29 am
" Brokering agreements through an international board sounds as fruitless as the endless proposals for commissions to study tax reform. [read post]
25 Jan 2012, 11:17 am
Securities and Exchange Commission, will serve as leaders of the mortgage working group. [read post]
7 Apr 2010, 3:27 pm
In early 2007, Goldman traders reportedly used a private London swap exchange to bet heavily against the housing market. [read post]
NCSLT Litigation Moratorium? – Expect confusion, inconsistent implementation, and need for follow-up
22 Sep 2017, 2:27 pm
On Sep. 18, 2017 the CFPB issued an administrative CONSENT ORDER that requires Transworld Systems, Inc. [read post]
26 Mar 2007, 7:42 am
Profile of a cliff; falling off same The California company said in a filing with the Securities and Exchange Commission yesterday that all of its lenders have either pulled its funding or have said they will do so. [read post]
29 Dec 2013, 11:04 am
SEC Addresses Structured Settlement Transfers Responding in part to concerns about secondary market business practices, the Securities and Exchange Commission (SEC) Office of Investor Education and Advocacy issued an Investor Bulletin in 2013 titled "Pension or Settlement Income Streams: What You Need to Know Before Buying or Selling Them". [read post]
9 Jul 2008, 4:20 am
The ratings shortcomings apparently accompanied (and, it may be argued, enabled) the flood of mortgage securitizations that contributed to the subprime meltdown. [read post]
9 Aug 2023, 9:01 pm
Within the US banking system, there are likely to be competitive shifts as banking institutions that do not engage in activities most impacted by the Capital Proposal (e.g., trading activities, fee or commission-based activities) benefit on a [read post]
3 Nov 2023, 10:39 am
They’re under the watchful eye of the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC). [read post]
26 Feb 2012, 10:18 pm
A giant international insurance company agrees to underwrite the value of each new series of bonds, in exchange for annual premiums.The premiums are included in the price of the repackaged securities. [read post]
16 May 2011, 3:44 pm
(The following post is contributed by Rahul Singh)The Competition Commission of India (the "CCI") has on 11 May, 2011 notified the Competition Commission of India (Procedure in regard to the transaction of business relating to combination) Regulations, 2011 (No 3 of 2011) ("Combination Regulations") under the Competition Act, 2002 (the Competition Act). [read post]
