Hints and tips:
...People say bad things about good people and good things about bad people,” said Kevin Paffrath, a finfluencer who is known as Meet Kevin, to his 1.87mn subscribers on YouTube, and who has launched his very...
...You have the SEC has been looking at PFOF and looking at ways to possibly regulate it. Ethan Wu And of course, Lauren, when you bring up PFOF, you’re talking about payment for order flow....
...The largest financial crisis in history becomes a three-act play, directed by Sam Mendes....
...One job move to start: Goldman Sachs has hired ex-McKinsey executive Kevin Sneader to serve as the bank’s co-president in Asia-Pacific, months after he was ousted from the global consulting firm....
...Upholding parts of that complaint, the New York court found that Mr Rashid had committed 32 violations of the Investment Advisors Act....
...Also this month, investors torpedoed the pay package for Starbucks chief executive Kevin Johnson — a rare rebuke....
...Mr Sanders became head of CBP earlier this year, after the agency’s previous head, Kevin McAleenan, was chosen to replace Kirstjen Nielsen as homeland security secretary....
...The SEC is also investigating Avon’s contacts with financial analysts....
...When it comes to rules for Sefs, for example, the CFTC and the SEC have different proposals....
...“The main message we are hearing from the industry is that they should be left to decide how to trade swaps and that the rules not be overly prescriptive,” says Kevin McPartland, director of fixed income...
...“Mutual funds may be able to use the derivatives market more now that it is more transparent, but it could become a huge regulatory burden unless the rules are clarified,” said Kevin McPartland, director...
...SEC rules limit their use of leverage and shorting, prevent them from charging performance fees, and let investors withdraw without penalty....
...Kevin Brown is the FT’s Asia regional correspondent kevin.brown@ft.com www.ft.com/insidebusiness...
...With luck, the SEC will now act boldly....
...The SEC, along with US exchanges, has explored banning stub quotes....
...The Securities and Exchange Commission (SEC) had requested more powers in the law to pursue overseas companies for fraud....
...“By now, self regulation has been brought up so many times it’s a natural part of the conversation,” says Kevin Zambrowicz, partner with Boston-based law firm Bingham McCutchen....
...Apple’s investors have been on edge as they await the outcome of the SEC and justice department probes into the scandal....
...that employees act with the highest level of professionalism at all times”....
...In its SEC filing, HP said outside counsel engaged by the board had concluded that the use of pre-texting was “not generally unlawful,” further highlighting the legal grey area surrounding the practice....
...He told a judge that he “knew at the time that my actions and agreements with others at the company to act as I have were wrong.”...
...HP disclosed in an SEC filing last week that its investigators had used “pretexting”, the act of impersonating a person in order to gain access to sensitive information, in order to identify a board member...
...Another subject of discussion is Larry Sonsini, a founding partner of Wilson, Sonsini, Goodrich and Rosati, who acts as outside counsel to the HP board....
...In its filing this week with the SEC, HP acknowledged that its investigators had used pretexting to gain access to telephone records, but it said the practice was “not generally unlawful.”...
...Lynn Turner, the SEC’s chief accountant from 1998 to 2001, says such actions are tantamount to cheating....
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