Hints and tips:
...It said in its annual report on shareholder voting that many of this year’s proposals were too prescriptive or pointless, and cited a US Securities and Exchange Commission policy change that has allowed...
...Social media noise can push token prices around (Tandon et al), but not as effectively as mainstream media coverage (Coulter)....
...And further growth now appears likely, with BlackRock — the world’s largest asset manager — recently filing plans with the US Securities and Exchange Commission to launch its first two buffer funds....
...Crypto tokens are not securities any more than baseball cards or sports bets are. Prosecute fraud, maybe regulate crypto exchanges like casinos, and keep the SEC et al out of it....
...The US Securities and Exchange Commission in February proposed that private equity funds should provide standardised quarterly data on fees, expenses and performance....
...On Wednesday the Commodity Futures Trading Commission hosted an industry roundtable to discuss FTX’s proposal for a new derivatives risk management framework....
...The Securities and Exchange Commission is plotting a crackdown after fining BNY Mellon’s investment adviser division $1.5mn for allegedly misstating and omitting information about ESG investment considerations...
...For example, in a 2010 opinion (Chevron Corp v Steven Donziger, et al) handed down from the US district court in Manhattan, the judge wrote that the “evidence at trial established that Donziger, a New York...
...A new SEC rule brought in at the end of last year has made it much easier for official dealers to negotiate the types and proportions of securities they deliver to exchange traded fund (ETF) managers when...
...and Exchange Commission in 2013....
...The affliction has apparently become so acute that President Trump announced in August (via Twitter, of course) that he'd requested the US Securities and Exchange Commission to consider scrapping a decades-old...
...First, the US Securities and Exchange Commission has asked a judge to find Tesla chief executive Elon Musk in contempt of court for tweeting without the approval of a lawyer. Read more here....
...This was disproved by the trial of US v Zarrab et al, in which a Turkish banker and a gold trader were convicted of laundering Iranian oil and gas revenues....
...Assets under management at Leon Cooperman’s Omega Advisors have dropped by about a quarter to $4bn after the hedge fund was ensnared in an insider trading probe by the US Securities and Exchange Commission...
...Alternatively, a lot of fintech presents itself as a plain vanilla broker or exchange model which forces its own customers to do the hard work on risk-assessing counterparties, assets, loans, et cetera....
...So it’s not surprising that the first response from Buchheit et al is to answer back with bits of the bond contract that suggest sneaky loopholes instead....
...., Oct. 19, 2011 – The Securities and Exchange Commission today charged Citigroup’s principal U.S. broker-dealer subsidiary with misleading investors about a $1 billion collateralized debt obligation (CDO...
...Pipeline Trading Systems is cutting its ties with Milstream Securities, the trading firm that was at the heart of a Securities and Exchange Commission charge against Pipeline last month....
...Mr Thomas also maintains ETFs do not provide answers to the issues of asset allocation and risk management....
...“Here it was the same thing but with a very unlikely asset.”...
...His frustration leaps off the pages as he watches Madoff’s scheme swell from $6bn to $50bn, while in effect screaming “he’s a fraud” in a vain attempt to get the Securities and Exchange Commission and Madoff...
...Securities and Exchange Commission (“SEC”). Motorola will distribute an information statement to shareholders following completion of the SEC’s review of the Form 10....
...The Securities and Exchange Commission, which filed a civil complaint on Thursday, said it had a court order freezing more than $5m in trading profits in various US accounts in the name of Hazem Khalid al-Braikan...
...Mr Braikan, the chief executive of Al Raya Investment Company, was one of several Kuwaiti defendants named in a civil complaint filed by the Securities and Exchange Commission on Thursday....
...It then emerged that the US Securities and Exchange Commission had filed a civil complaint in the US against a series of Kuwaiti entities – Hazem Khalid al-Braikan, chief executive of Al Raya Investment...
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