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Browse: Home / Regulation

Regulation

April 26 Webcast: Securities Regulation of Digital Assets

April 26 Webcast: Securities Regulation of Digital Assets

By Securities Docket on April 6, 2018, 8:02 am

Please join Alma Angotti, Gino Soave, Martine Beamon and Jai Massari for this free webcast.

Posted in Industry, SEC, Top | Tagged Cryptocurrency, Regulation, Webcasts

$26 billion in fines and 28 jail sentences: How global regulators are cracking down on financial crime – Business Insider Nordic

By Securities Docket on January 3, 2018, 9:49 am

Almost 80% of fines between 2012 and Q3 2017 were issued by US regulators, the majority of which (85%) related to market abuse and disclosure. The UK’s Financial Conduct Authority (FCA) accounted for $3.1 billion (£2.2 billion) of the conduct fines handed out over the same period. via $26 billion in fines and 28 jail […]

Posted in Global, Top | Tagged Regulation

In the Murky World of Bitcoin, Fraud Is Quicker Than the Law – NYTimes.com

By Securities Docket on December 6, 2013, 7:32 am

The call went out on Twitter: “For insane profits come and join the pump.” It was an invitation to a penny stock-style pump-and-dump scheme — only this one involved Bitcoin, the soaring, slightly scary virtual currency that has beckoned and bewildered people around the world. While such bid ’em up, sell ’em off scams are […]

Posted in Industry, Top | Tagged Bitcoin, Regulation

New rule could turn U.S. hedge funds into informers

By Securities Docket on January 8, 2013, 7:55 am

U.S. financial regulators are pushing to turn hedge funds into informers on the white collar crime beat. The Financial Crimes Enforcement Network (FinCEN) is working on a rule that would require U.S. hedge funds to file formal reports notifying U.S. authorities of any suspicious trading by employees or outside parties, the regulatory agency said. The […]

Posted in Industry, Top | Tagged Hedge Funds, Regulation

Google's Announcements on Financial Performance Now Exclusively Released On Its IR Website

Google’s Announcements on Financial Performance Now Exclusively Released On Its IR Website

By Amanda Harding on April 21, 2010, 3:34 pm

Google will make financial disclosures exclusively on this “recognized channel.”

Posted in Regulation | Tagged Regulation, Regulation FD

SEC Considers Requiring Detailed Findings of Investigations in Settlement Agreements

SEC Considers Requiring Detailed Findings of Investigations in Settlement Agreements

By Amanda Harding on April 2, 2010, 10:35 am

The agency may require detailed findings in settlement agreements.

Posted in Regulation, SEC | Tagged Regulation, Regulators

Two Finra Merger Cases Dismissed

By Amanda Harding on March 3, 2010, 3:53 pm

Judge Rakoff cites absolute immunity of NASD in its regulatory function.

Posted in Industry | Tagged Dismissals, FINRA, Regulation

IOSCO Releases Template for Hedge Fund Regulation

IOSCO Releases Template for Hedge Fund Regulation

By Amanda Harding on March 3, 2010, 3:46 pm

IOSCO sets forth new required disclosures for hedge fund regulators to enforce.

Posted in Global | Tagged Hedge Funds, Regulation

Kuwait Approves New Market Regulator

Kuwait Approves New Market Regulator

By Amanda Harding on January 21, 2010, 4:55 pm

New Kuwaiti regulator will oversee Kuwaiti Stock Exchange.

Posted in Global | Tagged Kuwait, Regulation

SEC Ramps Up International Cooperation Efforts

SEC Ramps Up International Cooperation Efforts

By Securities Docket on September 21, 2009, 1:56 pm

SEC requests for foreign assistance surge.

Posted in Global | Tagged Regulation

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