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Biden, law enforcement to attend Boston memorial for slain officer
BOSTON (Reuters) – Thousands of law enforcement agents from around the country plan to attend a memorial on Wednesday for a campus police officer who authorities say was slain by the accused Boston Marathon bombers, and Vice President Joe Biden … Continue reading
Ontario Securities Commission fines, bans “qualified person” in landmark enforcement over faked science
The OSC halted trading in Bear Lake on July 17, 2009, following which Bear Lake announced that it had become aware of material inconsistencies in its exploration results.
Posted in Best Trends
Tagged bans, commission, enforcement, faked, Fine's, landmark, Ontario, over, person”, science, Securities, “qualified
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UPDATE 3-Herbalife slams news report of law enforcement probe
(New throughout, updates with Herbalife comment, closing stock price)
CORRECTED-UPDATE 4-US issues final tax anti-evasion rules, enforcement ahead
(Corrects story to remove paras 18-20 as BlackRock executive comments were made before rules were published)
Posted in News
Tagged ahead, antievasion, CORRECTEDUPDATE, enforcement, final, issues, rules
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UBS felony plea in Libor deal ushers in tougher enforcement era
The settlement is intended to show resolve, following criticism in the U.S. and other countries that large banks and their management were not held accountable for any criminal actions during the…
Posted in Best Trends
Tagged deal, enforcement, Felony, Libor, plea, tougher, ushers
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Post-election SEC could emphasize enforcement over rule-writing, says former chair
The future direction of the SEC depends on whether Schapiro stays on in her role as the chairman of the SEC.
Posted in Best Trends
Tagged chair, Could, emphasize, enforcement, former, over, PostElection, rulewriting, says
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Culver City Car Accidents Reduced Heavy Use of Photo Enforcement
Culver City Car Accidents Reduced Heavy Use of Photo Enforcement Article by Muhammad Ali With a … Continue reading
U.S. bank regulator promises better enforcement following scathing congressional report into HSBC AML failures
During testimony by current and former officials at HSBC, Senator Carl Levin, who chairs the panel, expressed doubts that the bank would be able to successfully revamp its AML regime.
Posted in Best Trends
Tagged bank, better, congressional, enforcement, Failures, Following, HSBC, into, promises, regulator, report, scathing, U.S.
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U.S. state oversight of small investment advisers takes effect; exams and enforcement loom
The states also have also been busy on the examination front. It’s apparent that a newly transitioned adviser will be examined in the near future and this could be a stressful notion for many.
Posted in Best Trends
Tagged advisers, effect, enforcement, exams, investment, loom, Oversight, small, state, takes, U.S.
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New U.S. court rulings may add to costs, risks of finance industry regulatory enforcement
In Brooklyn Judge Frederic Block approved a settlement between the SEC and Ralph Cioffi and Matthew Tannin, two former Bear Stearns hedge fund managers.
Posted in Best Trends
Tagged costs, court, enforcement, finance, industry, regulatory, risks, rulings, U.S.
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