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Searching Content indexed under Financial Services by Marc Powers ordered by Published Date Descending.
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Blockchain Platform For Energy Commodities Announced In U.S., Restrictions Ease In Foreign Markets
Major oil companies in the North Sea and other industry participants recently announced the formation of a blockchain-based energy commodity trading platform called VAKT.
United States
22 Nov 2018
2
Hard For ICOs To Avoid US Courts: Personal Jurisdiction Found In Two Recent Securities Cases Over Foreign ICO Defendants
Over the past year, the plaintiffs' bar and Securities and the Exchange Commission (SEC) have brought class and enforcement action proceedings, respectively,
United States
2 Oct 2018
3
2016 Year-End Securities Litigation And Enforcement Highlights
Welcome to the 2016 Year-End Report from the BakerHostetler Securities Litigation and Regulatory Enforcement Practice Team.
United States
10 Feb 2017
4
SEC "Zero Tolerance" Nets Nearly Two Dozen Firms For Alleged Violations Of Short Sale Rule
Hedge fund and other private investment fund managers, both domestic and foreign, those registered or not, beware.
United States
27 Sep 2013
5
The Falcone Settlement: A Harbinger Of Things To Come?
On August 19, 2013, the Securities and Exchange Commission announced that New York-based hedge fund adviser Philip A. Falcone and his advisory firm Harbinger Capital Partners agreed to a settlement.
United States
11 Sep 2013
6
Best Practices For Investment Advisers On Trade Execution: An Analysis Of Two Recent SEC Settlements
The U.S. Securities and Exchange Commission recently announced that two investment advisers allegedly failed to seek best execution on client trades placed with their in-house brokerage divisions and misled their clients.
United States
9 Aug 2013
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