Search for: "Working Group on Securities Disclosure Authority"
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24 Feb 2023, 5:30 am
The White Law Group is investigating potential securities claims involving First Allied Securities. [read post]
23 Feb 2023, 9:01 pm
Through this work, a few themes emerge: proactivity, breadth, and impact. [read post]
23 Feb 2023, 12:42 pm
I just got off the phone with him and he explained to me why the principal deputy won’t work, especially with the FBI. [read post]
22 Feb 2023, 1:07 pm
It is also highly relevant to mediation and settlement conferences, as well as to discovery into legal analysis and work product related to various assertion, defenses, and damages doctrines. [read post]
SEC’s Brings an “S”-Related ESG Enforcement Action Based on Alleged Human Capital Control Violations
20 Feb 2023, 6:39 pm
Indeed in June 2022, a Working Group on Human Capital Accounting disclosure submitted a petition requesting the SEC to “develop rules to require public companies to disclosure sufficient information to allow investors to asses the extent to which the firms invest in their workforce. [read post]
20 Feb 2023, 6:11 am
” “Judge John Dorsey signed the order making Sullivan & Cromwell lead counsel on January 20, despite a mind-numbing list of conflicts of interests, including extensive past legal work for the FTX group and personal legal work for its now indicted kingpin, Sam Bankman-Fried. [read post]
17 Feb 2023, 5:06 am
No previous arbitration, securities, or legal experience is required, only five years of paid work experience and two years of college level credits is required to become an arbitrator. [read post]
17 Feb 2023, 3:00 am
The Trump Organization secured an agreement with a Saudi real estate company that plans to build a Trump hotel as part of a $4 billion golf resort in Oman. [read post]
14 Feb 2023, 6:51 am
The report also contains these other suggestions for Congress that NASAA believes will help the capital markets:Congress should update and enhance the SEC’s civil penalties statute by increasing the statutory limits on civil monetary penalties, directly linking the size of these penalties to the scope of harm and associated investor losses, and substantially raising the financial stakes for repeat securities law violators.Congress should require the federal financial regulators to… [read post]
13 Feb 2023, 7:28 am
According to Conwell, his first fund raised money from a diverse group of investors via Rule 506(c) of Regulation D and a social media campaign (Rule 506(c) allows for general solicitation in some instances). [read post]
11 Feb 2023, 5:14 am
In the decision, the Court determined that the partial disclosure of the information was a violation of the right of access to public information of the plaintiff and ordered the aforementioned authority to fully deliver the information requested. [read post]
10 Feb 2023, 12:30 pm
Is it an unconstitutional delegation of Congressional authority to allow the President to call steel imports a threat to "national security" based on . . . not much and then slap tariffs on them? [read post]
9 Feb 2023, 9:05 pm
House of Representatives, the party is expected to hold committee hearings further criticising ESG efforts by companies, asset managers, proxy advisory firms, the Securities and Exchange Commission (SEC) and others. [read post]
5 Feb 2023, 11:39 pm
So far, the financial markets have shown resistance to these challenges, but the AFM notes that (certain groups of) households continue to be vulnerable and that financial services providers will need to pay extra attention to their duty of care. [read post]
4 Feb 2023, 3:20 am
Verifying and tightening technological and other tracking, documentation and safeguards and controls to the use, access and disclosure of protected health information and systems. [read post]
2 Feb 2023, 9:37 pm
It is tasked with reviewing the biotech industry and suggesting investments that would benefit national security. [read post]
2 Feb 2023, 10:55 am
It’s the Financial Industry Regulatory Authority. [read post]
2 Feb 2023, 7:16 am
-EU TTC seeks to leverage their ongoing work on AI (e.g., the EU AI Act and the U.S. [read post]
2 Feb 2023, 4:16 am
The post Early Edition: February 2, 2023 appeared first on Just Security. [read post]
1 Feb 2023, 9:01 pm
The passage of the Securities Act and the Exchange Act, and the authority that Congress gave to the Commission, reflected an intentional and marked departure from that dark default. [read post]
