Sentences with phrase «insider trading issues»

They are also legally required to report potential insider trading issues.

Not exact matches

At issue in Salman's appeal is whether the government in insider trading cases must prove that an alleged source of corporate secrets like the brother - in - law received a tangible benefit like cash in exchange for any tips.

But in the current insider trading probes, subpoenas are being issued to mutual funds.

Additionally, different personnel may need to be on a team depending on the significance of the breach (whether it is at a mid-size or company - threatening level), type of breach (whether computer incursion or insider employee theft) or type of the information at issue in the breach (whether the breach involves social security numbers, credit or debit card numbers, personal health information or trade secrets).

Typical infractions include insider trading, accounting fraud, and providing false or misleading information about securities and the companies that issue them.

CPALL Stock Exchange of Thailand — April 21, 2016 In December, 2015, Thailand's Securities and Exchange Commission («SEC») issued fines totalling THB 34 million against six individuals for insider trading by unfairly using inside information to purchase shares of Siam Makro Public Company Limited (SET: MAKRO)(«Makro») just before CP ALL announced its acquisition plan of Makro in April 2013.

Rumors of insider trading and other issues related to the fight between proponents of Bitcoin Cash and Bitcoin likely played a role in this week's dramatic drop.

In addition to sexual harassment issues, Gillibrand touted her work securing health care for first responders to the Sept. 11 attacks, prohibiting insider trading by members of Congress, and winning a Superfund designation for Hoosick Falls, a Rensselaer County village whose water supply was contaminated by a factory that produced nonstick coatings.

In fact, some people avoid ill - gotten gains — such as profits from unfair labor practices or insider trading — for fear of «moral contagion,» according to a paper published this week in the online issue of the journal Social Psychological and Personality Science.

Insiders» profits, costs of trading, and market efficiency: H.Nejat Seyhun, Journal of Financial Economics, Volume 16, Issue 2, June 1986

Illiquid asset Immediate - or - cancel Income bond Income statement Indenture Index Indication of interest Individual Retirement Account (IRA) Industrial revenue bonds Inflation Inflation rate Initial public offering Inside market Insider Instinet Institutional investor Intangible drilling and development costs Integration Interbank market Interest Intermarket Trading System (ITS) Interpositioning In - the - money Intrastate offering Intrinsic value Introducing broker / dealers Inventory Inverted head and shoulders pattern Investment Investment adviser Investment Advisers Act of 1940 Investment banker Investment Company Investment Company Act of 1940 Investment contract Investment grade securities Investor brochure In - whole call IOC IPO Issue Issuer

Laura has also represented companies, executives and related individuals in SEC investigations into insider trading, conflicts of interest and accounting issues.

For public companies, policies and procedures should guard against insider trading and ensure timely disclosure of non-public information regarding the cybersecurity issue.

One issue that will be investigated, is whether executives sold shares after learning about the security flaws, which could violate rules prohibiting insiders from trading on material information that is not known to the public.

In July, the 10th U.S. Circuit Court of Appeals issued a ruling that the U.S. District Court in Denver miscalculated his sentence under the U.S. Sentencing Guidelines by overstating his financial gain from insider trading.

Since then, he has authored or co-authored a number of legal publications and is a frequent speaker on corporate governance, director and officer liability, fiduciary obligations, corporate investigations, financial statement fraud and presentation issues, whistleblower allegations, and insider trading.

Reported issues include suspected tax fraud, accounting fraud, corporate fraud, insider trading, health and safety issues and other serious offenses... [more]

Litigation partner Richard A. Rosen and corporate partner Udi Grofman have co-authored an article, titled «Political Intelligence and U.S. Insider Trading Regulations,» in the August 24 issue of Bloomberg BNA's Securities...

We assist our clients with corporate and securities compliance issues, such as continuous disclosure and insider trading requirements of issuers and individuals.

In addition, we represent companies in private shareholder and derivative actions and have conducted internal and special investigations covering accounting, disclosure, insider trading, and other matters on behalf of audit and specially formed board committees of issuing companies.

Leading cross-border investigations for numerous financial institutions in connection with allegations of trader misconduct in relation to credit and FX products, tax related trading activity, potential insider trading and management oversight of conduct of business issues.

Because public companies are not subject to Section 15 of the Exchange Act and Section 204A of the Investment Advisers Act, they have discretion as to how they choose to deal with insider - trading issues.

With chapters written by local experts from major jurisdictions worldwide, Equity Derivatives covers topics such as: regulatory authorities; market structure; categories and types of over-the-counter and exchange - traded equity derivatives; borrowing, selling, and repurchasing shares; risks facing dealers and counterparties; bankruptcy and insolvency rules; reporting obligations; insider trading regulations; taxation issues; and the design and issuance of structured products.

For public companies, policies and procedures should guard against insider trading and ensure timely disclosure of non - public information regarding the cybersecurity issue.

The policy reviews that Nizam oversaw at MAS included: (1) revamp of regulatory framework on markets / recognized market operators, (2) dual currency investments, (3) credit card solicitation rules, (4) disclosure requirements for investment products, (5) rationalisation of wholesale / retail investors, (6) extra-territorial application, (7) regulation of traded life / endowment policies, (8) civil penalty regime for market misconduct, (9) review of insider trading, (10) licensing and business conduct issues, (11) policies behind regulation capital markets intermediaries, (12) implementation of recommendations of Corporate Law and Regulatory Framework Committee (CLRFC).

Andreessen's shares were sold using the Rule 10b5 - 1 trading plan, which means the shares are set to sell on a specific schedule to alleviate any issues of insider trading.

Besides operational problems like an inability to handle all the traffic to specific BCH liquidity issues, the company was also accused by many clients of enabling insider trading.