Hints and tips:
...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....
...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....
...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....
...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 US Securities and Exchange Commission is seeking to compel hedge funds and private equity groups to disclose quarterly performance and fees charged to investors, as the agency pushes back against activities...
...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...
...and Exchange Commission in 2013....
...and Exchange Commission....
...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...
...They argue that it makes little sense to ban a non-strategic company such as Rusal while leaving Sberbank, VTB and Gazprom et al still tradeable in the US....
...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....
...Exchanges, business groups and the leadership of the Securities and Exchange Commission have decried the trend and are seeking ways to encourage listings....
...Leon Cooperman, chief executive of Omega Advisors, who is facing civil insider trading charges from the Securities and Exchange Commission, has told investors that prosecutors were waiting for the Salman...
...In a civil suit last month, the Securities and Exchange Commission accused the Omega Advisors chief executive of insider trading....
...The European Commission is trying to tie us down with red tape, regulate the data we pass to the National Security Agency and is claiming up to $8bn from Apple in unpaid taxes....
...He argued that the appeals court’s “unprecedented ruling” clashed with the Supreme Court’s definition of insider trading established in a 1983 case, Dirks v the Securities and Exchange Commission....
...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...
...Mr Cohen, meanwhile, has not been charged with any criminal wrongdoing but remains the subject of a Securities and Exchange Commission civil suit; it accuses him of failing to do enough to prevent the insider...
...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...
...nip the heels of Knight, Virtu, Getco et al....
...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....
...As well as the FSA’s and SFO’s investigation into Barclays’ cash calls, the US Securities and Exchange Commission is investigating a number of banks over their dealings with sovereign wealth funds....
...The national registry is a sort of back office, where all the country’s state and commercial ETS allowances are held and trades are logged....
...al at a national level....
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