Search for: "Securities & Exchange Commission v. Topping" Results 41 - 60 of 340
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16 Apr 2021, 8:43 am by Kristian Soltes
A National Security Council spokeswoman did not reply to a request for comment. . . . [read post]
10 Feb 2021, 10:55 am by Evan Schwartz
Securities and Exchange Commission to settle allegations that it made misleading disclosures last spring about the impact of the pandemic on its business operations and finances. [read post]
4 Jan 2021, 1:26 pm by Kevin LaCroix
  I have set out below the Top Ten D&O Stories of 2020, with a focus on the future implications. [read post]
22 Dec 2020, 9:43 am by CFM Admin
The Securities and Exchange Commission (the “SEC”) has provided a model form and accompanying instructions for firm privacy policies. [read post]
5 Nov 2020, 7:35 am by Kristian Soltes
’s V 2.65% $5.3 billion deal to acquire Plaid Inc., a key player in the financial-technology space. [read post]
25 Oct 2020, 5:46 pm by INFORRM
  The top rated country is Denmark with the UK at number 31 and North Korea as the worst country in the world for freedom of expression. [read post]
22 Oct 2020, 9:00 am by Adam Novick
Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), U.S. [read post]
22 Oct 2020, 7:22 am by Jason Rantanen
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]
17 Sep 2020, 4:00 am by Administrator
” This chapter discusses the attacks on the rule of law by the President and some in his orbit, including: (i) the rule of law; (ii) criticisms of laws by the President; (iii) The Hatch Act; (iv) other examples of violations; (v) military law; and (vi) pardons. 12.2 Rule of Law The President of the United States takes an oath to preserve, protect and defend the Constitution. [read post]
2 Sep 2020, 3:51 am by Matthias Weller
The CJEU declared it to infringe Article 19 (1) TEU in its judgment of 24 June 2019, C- 619/18 – Commission v. [read post]
6 Jul 2020, 4:00 am by Administrator
Excess Copyright Canadian Securities LawNew Brunswick Joins Canadian MoU Respecting Oversight of Exchanges The Ontario Securities Commission recently announced that the MoU between various Canadian securities regulators respecting the oversight of exchanges and quotation and trade reporting systems is being amended to add the Financial and Consumer Services Commission of New Brunswick as a party. [read post]
1 May 2020, 2:11 am by Shannon O'Hare
SECURITY AND TRUSTS / AGENCY / PARALLEL DEBT Since the introduction of a legal regime creating a security agent in 2017, a security agent can be appointed for the purpose of taking, registering, managing and enforcing security it holds in its name for the benefit of the creditors. [read post]
16 Apr 2020, 4:55 am by Hedge Fund Lawyer
As we continue through 2020, we have put together this update and checklist to help managers stay on top of the business and regulatory landscape in consideration of the global pandemic affecting nearly every aspect of the industry and our lives. [read post]
15 Apr 2020, 6:50 am by Laura Peterson
” The advisory said the CFTC would work with the Securities and Exchange Commission (SEC) and Department of Justice (DOJ), both of which can enforce the Foreign Corrupt Practices Act. [read post]