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Searching Content indexed under Securities by Geert Potjewijd ordered by Published Date Descending.
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1
2015 Report Shows Further Growth Of SEC Whistleblower Programme
Every year, the Securities and Exchange Commission reports on the results of its whistleblower programme.
United States
14 Dec 2015
2
Settlements In Brief: Notable Settlements In September And October
Enforcement actions by criminal and supervisory authorities are settled regularly.
United States
19 Nov 2015
3
SEC Urges Courts To Extend Retaliation Protection To Internal Whistleblowers
The Securities and Exchange Commission recently issued new guidelines stating that the anti-retaliation provisions in the Dodd-Frank Act should also apply to staff who report misconduct internally.
United States
15 Sep 2015
4
SEC To Pay Highest Possible Whistleblower Award In First Retaliation Case
In the first anti-retaliation case against a New York-based hedge fund advisory firm, the SEC recently announced that the whistleblower at the centre of the case would receive the highest possible award.
United States
12 Jun 2015
5
Caution: Having A Deficient Whistleblowing And Compliance System May Have Consequences
The SEC announced two whistleblowing cases in April 2015. In the first case, the SEC issued a whistleblowing award between USD 1.4 and 1.6 million.
United States
12 May 2015
6
Dutch Government Appears To Tighten Grip On Independent Conduct Supervision
Internal discussions on whether members of the AFM’s supervisory board can hold positions in companies or financial institutions prompted the Minister of Finance to conduct an integrity audit.
Netherlands
13 Feb 2015
7
Settlements In Brief: Recent Cases Show Importance Self-Reporting And Remedial Action
Enforcement action by criminal and supervisory authorities is settled regularly.
United States
13 Feb 2015
8
Court Of Appeal Rules On Disclosure Of Price-Sensitive Information
Supermarket chain Super de Boer should have intervened earlier to avoid possible insider trading. An appeals court recently decided this in proceedings following Jumbo’s takeover of Super de Boer in 2009.
Netherlands
19 Dec 2014
9
Recent AFM Fines: An Important Warning Shot For Financial Undertakings
A number of administrative fines imposed by the AFM were recently published.
Netherlands
19 Dec 2014
10
Fewer Hurdles For Chinese Outbound Investments
The need to obtain government approvals often sets Chinese investors back when making outbound investments.
China
17 Feb 2014
11
SEC Attempts Six-Month Ban On Chinese Affiliates Of Big Four
A long-running dispute between US and Chinese Regulators over providing audit documents of US-listed Chinese companies has taken new turns.
China
16 Feb 2014
12
Chinese Government Expands RMB Qualified Foreign Regime
The Chinese government has always held a tight grip on the cross-border movement of Renminbi, but over the last years it has been slowly easing restrictions.
Netherlands
17 Jul 2013
13
CSRC Releases New QFII Regulation
On 28 July 2012, the China Securities Regulatory Commission ("CSRC") released a revised regulation on the Qualified Foreign Institutional Investor ("QFII") program.
China
3 Sep 2012
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