Suche Bilder Maps Play YouTube News Gmail Drive Mehr »
Einstellungen | Anmelden

Securities Compliance Attorney

Accidental Securities Offerings: Protecting Your Real Estate Invesments

Lexology (registration) - ‎vor 42 Minuten‎
This article is not a compliance guide, but rather an overview of some of the securities issues you should discuss with an attorney before soliciting investments for your next real estate project. The Securities Act of 1933 (the "Securities Act") was ...

Pence could hold back Trump's Wall Street fundraising

CNBC - ‎vor 18 Stunden‎
According to a Securities and Exchange Commission regulation: "The two-year time out is thus triggered by contributions, not only to elected officials who have legal authority to hire the adviser, but also to elected officials (such as persons with ...

The Biggest Lateral (and Other) Moves in the Legal Market RN

Bloomberg Big Law Business - ‎vor 20 Stunden‎
Frecker joined the company in 2008, and previously was responsible for corporate securities matters, handled corporate compliance and oversaw the company's franchise agreements, according to a press release. He marks the third lawyer to act as general ...

FSC seen as falling down on the job

Jamaica Gleaner - ‎vor 8 Stunden‎
We put in an application in November for an amendment and it took them three months to tell us there was a variance of two between the numbers which appeared in the certificate of compliance and when the [FSC] officer counted the tally sheet for the ...

FINRA dings Morgan, Citi in broker-wife dispute

On Wall Street - ‎vor 14 Stunden‎
At a minimum, accounts that a broker manages for a husband or wife warrant a heightened level of scrutiny, according to Bill Singer, a veteran securities attorney who runs the Broke and Broker blog. "There's a message here to compliance staffs," Singer ...

Gloomy Bankers and TARP Fraud

Bloomberg - ‎28.07.2016‎
("Since taking over a year ago, Thiam, 53, has reorganized Credit Suisse to scale back securities trading and free up capital for expanding the wealth-management business, following an approach used by Swiss rival UBS Group AG.

Tax Case Sparks Shareholder Derivative Suit

The National Law Review - ‎vor 16 Stunden‎
Eaton Corporation PLC was sued recently for alleged violations of federal securities laws because one of its officers made an admission on an earnings call that provisions of federal tax law barred Eaton from making tax-free spinoffs for a limited ...

Documents suggest state ignored warnings about Jay Peak in 2012

Brattleboro Reformer - ‎vor 13 Stunden‎
Douglas Hulme, owner of the EB-5 consulting firm Rapid USA Visas, had the ear of state officials in May 2012, public records obtained by VTDigger show, and Hulme had challenged the very business practices that became part of the charges the Securities ...

Analogic and Johnson Controls Settlements Shed Further Light On The ...

Lexology (registration) - ‎vor 6 Stunden‎
The U.S. Department of Justice ("DOJ") and the U.S. Securities and Exchange Commission ("SEC") recently announced two FCPA settlements that shed further light on how the DOJ is implementing its FCPA "Pilot Program.

Ten Questions to Consider Before Granting Equity to Employees

JD Supra (press release) - ‎vor 12 Stunden‎
You need the ability to repurchase your equity from departing employees, but check with an attorney to make sure the repurchase mechanism works as expected, and that it is enforceable.

An Auction House Learns the Art of Shadow Banking

Bloomberg - ‎27.07.2016‎
Sotheby's says it has a rigorous compliance program, and the firm hasn't been accused of wrongdoing in connection with the government investigation.

Stewart Says Desperate Dad Betrayed Him With Illegal Trading

Bloomberg - ‎27.07.2016‎
Jurors heard testimony Wednesday from a JPMorgan Chase compliance official and a U.S. Securities and Exchange Commission enforcement attorney who in 2013 interviewed Bob about his trading in one of the stocks at issue in his son's case. Jurors will ...

State AGs and Groups Defy Lamar Smith's Subpoena

InsideClimate News - ‎27.07.2016‎
"If enforced, the Subpoena will have the obvious consequence of interfering with the NYOAG's investigation into whether ExxonMobil made false or misleading statements in violation of New York's business, consumer, and securities fraud laws ...

The Morning Risk Report: BHS Leads to Call for Better Governance at Private Cos

Wall Street Journal (blog) - ‎27.07.2016‎
The U.K.'s Parliamentary inquiry into the sale of retailer BHS for a nominal one pound to a consortium last year, and its subsequent collapse in April, revealed what it said was a string of corporate governance failures and raised concerns over the ...

You Can't Escape the Past - ‎27.07.2016‎
Sometimes, a failure to disclose even the most mundane or long-forgotten youthful indiscretions could lead to career-damning consequences, essentially costing the advisor their job and possibly being banned from the securities industry. Take Jeff, a ...

Unilife Corp. (UNIS) Names New CEO; Updates on Cost Reduction Initiatives ... - ‎28.07.2016‎
He began his career as an Assistant District Attorney at the Manhattan District Attorney's Office. John earned his J.D.

State Street to pay $382 Million for foreign currency exchange fraud

Compliance Week (subscription) (blog) - ‎vor 20 Stunden‎
“State Street's custody clients—many of whom were public pension funds, financial institutions and non-profit organizations—had a right to expect that State Street would execute transactions in an honest and forthright manner,” said U.S.

Bank Identity and Hedge-Fund Culture

Bloomberg - ‎27.07.2016‎
Here's a story about how Point72 Asset Management is the least-insider-trading-est hedge fund (fine, family office) in the world, since its head of compliance, former federal prosecutor Vinny Tortorella, has at his command "an investigative team of ...

Royal Bank Ends TD's 10-Year Winning Streak in J.D. Power Study

Bloomberg - ‎28.07.2016‎
Sotheby's says it has a rigorous compliance program, and the firm hasn't been accused of wrongdoing in connection with the government investigation.

Let's Move Forward Together Email Address Zip Code Submit

California Forward Reporting - ‎27.07.2016‎
Ensuring democratic integrity is an important public accountability issue for California Forward, which praised Chiang's initiative for boosting transparency and compliance with ethical standards. “Public trust should not be compromised in an ... In ...