Search for: "Securities & Exchange Commission v. Topping"
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18 Dec 2023, 2:48 pm
On November 20, 2023, the Securities and Exchange Commission (“SEC”) charged Payward Inc. and Payward Ventures Inc., together known as Kraken, with operating Kraken’s trading platform as an unregistered securities exchange, broker, dealer, and clearing agency. [read post]
12 Nov 2011, 1:20 pm
Al-Nashiri said several times that he understood the issue and wanted to proceed with Paradis on his team.During this exchange, Cuyler v. [read post]
22 Oct 2020, 7:22 am
Securities and Exchange Commission (first reported by IAM) that on September 29, it filed for an anti-anti-suit injunction (AASI) in the Delhi High Court to prevent Xiaomi from enforcing its Chinese ASI. [read post]
24 Jul 2014, 4:34 am
Last year, we discussed how Judge Leon’s questioning of a proposed settlement between IBM and the Securities and Exchange Commission for alleged books and records violations possibly contributed to an expanded investigation of the Company, and may have complicated the enforcement picture. [read post]
14 May 2012, 6:45 am
Aleynikov and U.S. v. [read post]
25 Jul 2011, 1:55 am
National Australia Bank, Section 10 of the ’34 Act and Rule 10b-5 apply to “transactions in securities listed on domestic exchanges, and domestic transactions in other securities. [read post]
26 Jan 2024, 6:00 am
Coinbase has asked the court to dismiss the Securities and Exchange Commission’s lawsuit alleging the largest U.S. crypto exchange is flouting its rules. [read post]
1 Aug 2022, 12:11 pm
Channel 4 has announced that it has commissioned a Docu-drama of the case. [read post]
15 Dec 2017, 9:01 am
As we head into 2018, we have put together this checklist and update to help managers stay on top of the business and regulatory landscape for the coming year. [read post]
15 Dec 2017, 9:01 am
As we head into 2018, we have put together this checklist and update to help managers stay on top of the business and regulatory landscape for the coming year. [read post]
23 Oct 2017, 4:22 pm
For example, the Securities and Exchange Commission and the New York Department of Financial Services have both announced their intentions to hold directors and officers to a responsible standard when it comes to preventing and responding to cybersecurity incidents. [read post]
23 Oct 2017, 4:22 pm
For example, the Securities and Exchange Commission and the New York Department of Financial Services have both announced their intentions to hold directors and officers to a responsible standard when it comes to preventing and responding to cybersecurity incidents. [read post]
1 Oct 2021, 4:00 am
“Not since Bush v. [read post]
20 Sep 2024, 3:00 am
Since the fall of Roe v. [read post]
25 Feb 2015, 7:10 am
While I do not believe the Department of Justice (DOJ) or Securities and Exchange Commission (SEC) will be sympathetic to some unsubstantiated claim along the lines of ‘I did my best with what I had’; they also made clear in the FCPA Guidance that “An effective compliance program promotes “an organizational culture that encourages ethical conduct and a commitment to compliance with the law. [read post]
25 Feb 2015, 7:10 am
While I do not believe the Department of Justice (DOJ) or Securities and Exchange Commission (SEC) will be sympathetic to some unsubstantiated claim along the lines of ‘I did my best with what I had’; they also made clear in the FCPA Guidance that “An effective compliance program promotes “an organizational culture that encourages ethical conduct and a commitment to compliance with the law. [read post]
13 Jan 2016, 5:05 pm
The government response was the enactment of the Securities and Exchange Act of 1934, which created the Securities and Exchange Commission (SEC) and made financial reporting obligatory for public corporations. [read post]
22 Jan 2016, 6:19 am
The Securities and Exchange Commission (SEC) found former State Street Vice President Vincent DeBaggis entered into an agreement with Amer Ahmad, then Ohio deputy treasurer, to make illegal cash payments and political contributions. [read post]
5 Sep 2016, 4:52 pm
The first case was heard by the High Court in Bangura v Loughborough University [2016] EWHC 1503 (QB). [read post]
2 Oct 2023, 9:50 am
Department of Justice and the Federal Trade Commission issued new Draft Merger Guidelines. [read post]
