Too often regulators get bogged down in the minutiae of prescriptive laws and miss their core intent, says Teresa Goody ...

2. Regulation 33 (6) of the SECC Regulations, 2018 and Regulation 31 (6) of the D&P Regulations, 2018 states that every MIIs shall appoint an independent external agency to evaluate its performance ...

The Securities and Exchange Commission (SEC) has highlighted the potential of blockchain technology to improve efficiency and enhance the regulation ...

A report on the results of a regulatory sweep that examined dealers’ compliance with all aspects of the Client-Focused Reforms (CFRs) will be delivered in the first half of 2025, according to a new ...

In his capacity as CEO of Chaince Securities, Daye will run a client ... innovative financial solutions while adhering to principles of compliance, professionalism, and operational efficiency.

However, the fundamental legal principles remain unchanged and personality and policy preferences at the SEC's helm cannot override established securities law. The Supreme Court's Howey Test ...

Assessee was not liable to deduct TDS under section 194H as relationship between e-commerce platform and assessee was not of an agency but that of two independent parties on principal to principal ...

LOS ANGELES--(BUSINESS WIRE)--Glancy Prongay & Murray LLP, a leading national shareholder rights law firm ... s possible violations of the federal securities laws. IF YOU ARE AN INVESTOR WHO ...

LOS ANGELES--(BUSINESS WIRE)--The Law Offices of Frank R ... concerning the Company’s possible violations of federal securities laws. IF YOU ARE AN INVESTOR WHO LOST MONEY ON PVH CORP. (PVH ...

The Company has received approval in-principle from the Singapore ... persons in offshore transactions in reliance on Regulation S under the Securities Act of 1933, as amended (the "Securities ...