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Results: 1-10 of 44,818

ASIC calls for health check on cyber resilience

  • Clayton Utz
  • -
  • Australia
  • -
  • March 26 2015

The Australian Securities and Investments Commission (ASIC) has released a report titled "Cyber Resilience: Health Check". The report recommends that

ASIC issues clarifications for foreign financial service providers applying for AFSL-exemptions

  • Baker & McKenzie
  • -
  • Australia
  • -
  • March 26 2015

Foreign financial service providers regulated by certain overseas regulators who wish to provide financial services to wholesale clients in Australia

SEC proposes to narrow the rule 15b9-1 exemption from FINRA membership

  • Bracewell & Giuliani LLP
  • -
  • USA
  • -
  • March 26 2015

On March 25, 2015, the Securities and Exchange Commission ("SEC" or "Commission") proposed amendments to rule 15b9-1 of the Securities Exchange Act

Reminder: certain U.S. reporting and compliance obligations for investment advisers and funds

  • Dechert LLP
  • -
  • USA
  • -
  • March 25 2015

The U.S. federal securities laws and the rules of U.S. self-regulatory organizations (such as the Financial Industry Regulatory Authority) impose

SEC penalties even though “bribe” not paid and firm lost bid for one affected project

  • Jenner & Block
  • -
  • USA
  • -
  • March 25 2015

To resolve FCPA charges, a Florida-based engineering and construction firm, then known as The PBSJ Corporation ("PBSJ"), entered into a two-year

In SDNY, whistleblower must allege communication of complaint to SEC

  • Jenner & Block
  • -
  • USA
  • -
  • March 25 2015

In Berman v. NeoOgilvy LLC., No. 14-CV-00523 (S.D.N.Y. Dec. 5, 2014), the former Finance Director of a subsidiary of a publicly-traded foreign

FCPA charges settled without admission; receives credit for real-time cooperation

  • Jenner & Block
  • -
  • USA
  • -
  • March 25 2015

Bruker Corporation (Bruker), a Massachusetts-based life sciences company, settled FCPA books-and-records charges with the SEC on a neither admit nor

Former direct access partners executives plead guilty

  • Jenner & Block
  • -
  • USA
  • -
  • March 25 2015

The former CEO of U.S. broker-dealer Direct Access Partners (DAP), Benito Chinea, and a former DAP managing director, Joseph Demeneses, each pleaded

Prepayment of Shariah: compliant direct investment deposits in Kuwait

  • Al Tamimi & Company - Advocates and Legal Consultants
  • -
  • Kuwait
  • -
  • March 25 2015

Use of Islamic Instruments to provide individuals substitute forms of financing has surged over the past decade. Many Islamic financial institutions

ASIC looks to behavioural economics to improve financial product messages

  • Corrs Chambers Westgarth
  • -
  • Australia
  • -
  • March 25 2015

The complexity of many financial products and the lack of consumer understanding about their risks is a key focus for ASIC. Despite a clear mandate