Hints and tips:
...On Friday the US Securities and Exchange Commission charged Morgan Stanley and its former equity syndicate desk head Pawan Passi with fraud in the conduct of block trading business....
...New documents posted this week with the Securities and Exchange Commission in the US shed some light over how the deal eventually got done, and why it took so long....
...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....
...But while the FTX chief was suggesting better ways to de-risk financial transactions, his is just the kind of crypto business that Gary Gensler, chair of the Securities and Exchange Commission, is targeting...
...Whatever you might think of Robinhood et al, retail investors do appear to value their services. You can’t ignore the regulatory politics either....
...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...
...in the fields of foreign and security policy....
...The report noted that the US Securities and Exchange Commission this year formed a team in its enforcement division to hunt for ESG misconduct....
...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...
...Six years later, Sunbeam had declared bankruptcy and the superstar chief executive hailed as corporate America’s greatest turnround artist was settling civil fraud charges with the Securities and Exchange...
...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...
...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....
...The lawyers representing BlackRock et al argue that the retransfer of the bonds was “unlawful”. Only five bonds were moved, out of a total of 52 conceivable candidates....
...Exchanges, business groups and the leadership of the Securities and Exchange Commission have decried the trend and are seeking ways to encourage listings....
...A testy exchange followed between Burgmans and Elliott portfolio manager Wiktor Sliwinski when he stepped up to ask a question....
...More than 60 per cent of its users live in the top 10 advertising markets, its filing to the Securities and Exchange Commission said....
...In joining Avant, Ms Bair follows luminaries such as Arthur Levitt, ex-chairman of the Securities and Exchange Commission, and Anshu Jain, the former co-CEO of Deutsche Bank, who both advise SoFi, a San...
...chart from Cap Econ attempting to summarise China’s current position from a purely economic standpoint: And an extra large chart covering RMB promotion from Xi et al from Deutsche for those who can be bothered...
...For a company like Rural that is traded on a major exchange, ―[t]urnover measured by average weekly trading of . . . 1% would justify a substantial presumption‖ of market efficiency. 5 Bromberg et al., Bromberg...
...for Argentina to make good on NML et al....
...security companies....
...“People familiar with discussions between the bank and regulators including the Securities and Exchange Commission said JPMorgan had conceded it would have to pay some amount of money and acknowledge failures...
...Regulators should step in to break up a “clubby relationship” between the issuers of asset-backed securities and the credit rating agencies, participants told a Securities and Exchange Commission roundtable...
...He said traders had discussed after the incident how the Securities and Exchange Commission might react in future amid the growing use of social media as a source of official information....
...Securities and Exchange Commission were investigating bribery allegations made against company employees. http://on.ft.com/YpxVPb Russian business deals on hold Billions of dollars in Russian business...
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