Search for: "Securities & Exchange Commission v. Topping" Results 41 - 60 of 360
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29 Dec 2021, 12:00 pm by Kevin LaCroix
In the US, for example, the Securities and Exchange Commission has flagged it is likely to introduce new rules on climate-risk disclosures for companies in the second half of 2021. [read post]
8 Dec 2021, 7:27 am by CFM Admin
On an annual basis, Securities and Exchange Commission (“SEC”) registered investment advisers (“SEC RIAs”) are required to provide natural person clients with a copy of the firm’s privacy policy if: (i) the SEC RIA has disclosed nonpublic personal information other than in connection with servicing consumer accounts or administering financial products; or (ii) the firm’s privacy policy has changed. [read post]
7 Dec 2021, 6:28 am by rainey Reitman
Suffice it to say that you know a lot about this stuff, and off the top, you told us a story about walking past a bridal shop, doing a good deed by locking the door and then never hearing back. [read post]
11 Nov 2021, 9:03 pm by Laura Welborn
Securities and Exchange Commission approved the Public Company Accounting Oversight Board’s Rule 6100. [read post]
11 Nov 2021, 2:07 pm by Kevin LaCroix
 Claim handlers continue to wrestle with enduring long-tail Exchange Act claims, federal and state Securities Act claims, and shareholder derivative suits without respite. [read post]
3 Nov 2021, 7:05 am by Hunton Andrews Kurth LLP
  In a press release issued by the OCC in connection with the Report, Acting Comptroller Hsu characterizes the Report as “identif[ying] the risk of stablecoin runs as the top concern. [read post]
6 Oct 2021, 6:41 pm by Shannon O'Hare
The blockchain technology on which NFTs are based means that they are highly secure and come with an immutable, publicly verifiable chain of title and proof of provenance. [read post]
4 Oct 2021, 2:32 pm by Kevin LaCroix
Securities and Exchange Commission (“SEC”) recently assessed Pearson plc (“Pearson”) with a $1 million penalty for allegedly making material statements and omissions concerning its disclosure of a cybersecurity breach. [read post]
13 Jul 2021, 5:30 am by Sherron Watkins
Securities and Exchange Commission (SEC) fines and shareholder lawsuits, and get the PR crisis folks working overtime on explaining this mess to employees and shareholders. [read post]
9 Jul 2021, 7:07 am by John Jascob
The exchanges had filed a challenge to the plans 65 days after the Commission’s action, falling outside of the Exchange Act’s deadline of 60 days for challenging Commission orders. [read post]
9 Jun 2021, 8:28 am
It ought not to escape attention that the Senate passage of the bull tool place the day after the CECC issued a public statement condemning Apple's operations in China as in contravention of the moral position and the political principles of the United States (Public Pressure on Private Conduct in Defense of Liberal Democratic Values: Congressional-Executive Commission on China Chairs Issue Statement about Forced Labor in Apple’s Supply Chain in Xinjiang). [read post]
14 May 2021, 7:51 am by Kristian Soltes
The Commerce Commission will also be given powers to regulate and monitor the retail payments system. [read post]