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This paper also addresses legal issues as well as the SEC position on why Congressional members are exempt from scrutiny or prosecution for insider trading. Since the last State of the Union Address and the call from President Obama for new legislative oversight that would provide visibility and ...
identifies each person or legal entity that establishes a relationship or opens an account with the Trustee. The parties to this Indenture agree that they will provide the Trustee with such information as it may request in order for the Trustee to satisfy the requirements of the USA PATRIOT Act...
in violation of SEC insider trading rules (Ivashina and Sun2011). Second, institutional investors may provide their affiliated equity analysts with the private information they received as lenders, in violation of Regulation Fair Disclosure (Chen and Martin2011). If these analysts then use the infor...
Created in 1972 to centralize the SEC’s enforcement actions, this division investigates securities law violations. With evidence from market surveillance and investor reports, it initiates legal actions where needed, sometimes resulting in recovered assets for defrauded investors. ...
Web3Privacy Now is a research project aimed at building a culture of privacy industry in web3: the most extensive database of privacy-enhancing solutions, the framework for PEDApps ideation, use-cases database & many more. Feel free to collaborate. - web
Our results demonstrate that the public regulator in China, the China Securities Regulatory Commission (CSRC), enforces regulations without considerable bias against either private listed companies or local government-controlled listed companies in misrepresentation and insider trading cases. However, the ...
In simplest terms, financial crime is the practice of taking money or property illegally from another person or organization for one’s benefit. Among the major types of financial crime are: Money laundering Terrorist financing Fraud Bribery Corruption Market abuse Insider trading Tax evasion Em...
The idea of "legal insider trading" is a bit of a misnomer. As Fagel, the former SEC regional director, told us, "There is no such thing as 'legal insider trading.' If one engages in insider trading (i.e., someone with a legal duty trading on material nonpublic information), it is...
Last, when breaches of the duty of loyalty occur, legal action can be taken by the affected parties. For example, shareholders can take action against the company or person who breached. In these cases, the courts evaluate the conduct in question and determine whether the individuals acted in ...