» Compliance Bricks and Mortar for January 19
19/01/19 14:00 from Compliance Building
These are some compliance-related stories that recently caught my attention: SEC Brings Enforcement Action for Failure to Verify Accredited Investor Status by Steve Quinlivan The SEC alleged CoinAlpha did not have pre-existing ...

» Tax-withholding transactions were not short-swing profits
18/01/19 15:36 from Jim Hamilton's World of Securities Regulation

» How Can Data Privacy Regulations Limit the Ability to Present Evidence in a Litigation?
17/01/19 16:03 from Privacy Law Blog
Stéphanie Martinier and Mathilde Pepin The French Supreme Court sanctions a company for having produced complete employee pay slips in a litigation. It is not news that the rules of evidence and data privacy laws may be conflicting. A re...

» Webinar explores the evolving SEC whistleblower minefield
17/01/19 15:11 from Jim Hamilton's World of Securities Regulation

» Delaware Franchise Tax due date: a reminder for Delaware corporations
16/01/19 21:16 from The Venture Alley
By Trent Dykes, Ossie Ravid and Jennifer Tornow Just a reminder to those who have Delaware corporations: your annual report and franchise tax payment are both due by March 1. At this point, you have likely already received from Delaware ...

» IAA voices concerns about proposal for portable retirement investment accounts
16/01/19 14:23 from Jim Hamilton's World of Securities Regulation

» 3M may exclude proposal to impose holding periods on stock and options
15/01/19 14:59 from Jim Hamilton's World of Securities Regulation

» ISS predicts California law will drive nationwide upswing of female board directors
14/01/19 13:00 from Jim Hamilton's World of Securities Regulation

» Questions are raised about investors' profit expectations
11/01/19 14:53 from Jim Hamilton's World of Securities Regulation

» Constitutional challenge lodged against SEC gag regulation
10/01/19 14:33 from Jim Hamilton's World of Securities Regulation