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Posts taggedRegulatory (Page 234)
www.winston.com/en/privacy-law-corner/sec-s-system-was-breached-data-possibly-used-for-insider-trading.html www.businessinsider.com/ap-sec-reveals-2016-hack-that-breached-its-filing-system-2017-9 www.bracewell.com/news/cyberattacked-sec-joins-club www.natlawreview.com/article/who-s-watching-watchdog-sec-deals-its-own-data-breach www.natlawreview.com/article/sec-wants-to-collect-more-information-can-they-protect-it Update: www.barnesville-enterprise.com/news/20170926/sec-chairman-faces-questions-from-congress-after-data-breach www.findknowdo.com/news/06/05/2023/sec-regrets-database-deficiencies-adjudication-memoranda 0
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October 20, 2017 webmaster
Cyber Security, Regulatory, Risk Management, US
pestalozzilaw.com/en/news/legal-insights/initial-coin-offerings-ico-or-token-generating-events-tge-switzerland-/ www.mme.ch/de/magazin/finma_trifft_abklaerungen_bei_icos/ www.mll-news.com/finma-publishes-supervisory-notification-on-token-salesicos/ www.finma.ch/en/news/2017/09/20170929-mm-ico/ 0
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October 19, 2017 webmaster
Crypto Currencies, Regulatory, Switzerland
bit.ly/2hHnJYr www.mcguirewoods.com/Client-Resources/Alerts/2017/9/Securities-and-Enforcement-Update.aspx bit.ly/2fOHwo2 www.sec.gov/news/testimony/testimony-clayton-2017-09-26 0
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October 18, 2017 webmaster
Banking, Regulatory, Risk Management, US
www.lit-wc.shearman.com/doj-and-sec-bring-major-fcpa-enforcement-actions- www.fcpablog.com/blog/2017/9/21/telia-agrees-to-pay-5486-million-criminal-fine-for-fcpa-viol.html bit.ly/2hmmBWi www.ropesgray.com/newsroom/alerts/2017/09/Third-Largest-FCPA-Enforcement-Telia-Pay-Almost-1-Billion-Bribery-Inquiry-Uzbekistan-CEO-Charged.aspx www.justice.gov/opa/pr/telia-company-ab-and-its-uzbek-subsidiary-enter-global-foreign-bribery-resolution-more-965 bit.ly/2yJlJCL 0
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October 17, 2017 webmaster
Regulatory, Risk Management, US
en.ferrere.com/latest-posts/news/paraguay-new-compliance-rules-for-the-securities-market 0
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October 16, 2017 webmaster
Paraguay, Regulatory, Risk Management
bit.ly/2xbmT9X goo.gl/zJYrjN www.jdsupra.com/legalnews/sec-wants-the-truth-and-nothing-but-the-60834/ www.omm.com/resources/alerts-and-publications/alerts/client-alert-sec-publishes-alert-describing-most/ www.proskauer.com/publications/client-alert/sec-issues-risk-alert-on-the-most-frequent-advertising-rule-compliance-issues-and-use-of-accolades-in-advertisements/ Click to access risk-alert-advertising.pdf 0
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October 13, 2017 webmaster
Banking, Regulatory, Risk Management, US
bit.ly/2xDavQh www.cms-lawnow.com/ealerts/2017/09/participation-insurance-takaful-an-alternative-to-conventional-insurance 0
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October 13, 2017 webmaster
Insurance, Turkey
bit.ly/2yxl4DS www.bakermckenzie.com/en/insight/publications/2017/09/new-business-opportunity-cnv/ canosa.com/creation-global-investment-advisory-agent/ 0
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October 12, 2017 webmaster
Argentina, Banking, Regulatory
www.findknowdo.com/news/07/03/2019/broker-dealer-settles-finra-charges-failing-supervise-representatives-trading?utm www.finra.org/newsroom/2017/finra-hearing-panel-fines-cl-king-associates-750000-negligent-misrepresentations-and See also: www.findknowdo.com/news/08/10/2021/three-individuals-settle-charges-misrepresentations-digital-assets-scheme?utm 0
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October 12, 2017 webmaster
Banking, Regulatory, US
www.chapmantripp.com/publications/fma-toughens-approach-to-misuse-of-fspr fma.govt.nz/news-and-resources/media-releases/fma-toughens-approach-to-misuse-of-fspr/ 0
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October 11, 2017 webmaster
New Zealand, Regulatory
