All Government articles – Page 46
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Article
Warner, Rubio urge no retreat from Huawei pressures
A bipartisan duo of senators has expressed concern that the White House might go easy on Huawei to achieve a favorable outcome on trade negotiations.
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Article
Wedbush to pay more than $8.1M for improper handling of ADRs
Wedbush Securities will pay more than $8.1 million to settle charges for the improper handling of “pre-released” American Depositary Receipts.
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ArticleSEC seeking comment on ways to harmonize private securities offering exemptions
The SEC is requesting public comment on ways to simplify, harmonize, and improve the exempt offering framework to expand investment opportunities while maintaining appropriate investor protections.
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ArticleCongress shows new resolve to combat shell companies
The United States seems poised to finally tackle issues surrounding shell companies and their often-opaque beneficial ownership structures.
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ArticleICBC to pay more than $42M for improper handling of ADRs
Industrial and Commercial Bank of China Financial Services will pay more than $42 million to settle charges with both the Securities and Exchange Commission and the Department of Justice for the improper handling of “pre-released” American Depositary Receipts.
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Article
Canon, Toshiba to pay $5M for antitrust law violations
Canon and Toshiba will pay $2.5 million each to settle federal charges regarding violations of the Hart-Scott-Rodino Act during an acquisition deal in 2016.
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ArticleBill demands ownership reveals for shell companies
The newly proposed ILLICIT CASH Act would, for the first time, require shell companies to disclose their true owners to the U.S. Department of Treasury.
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ArticleOSI Systems: FCPA probes have been closed
DOJ and SEC investigations into market security company OSI Systems have officially been terminated. No further information was provided.
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Article
SFO fines FH Bertling £850,000 in Angolan bribery scheme
The U.K. Serious Fraud Office on June 3 fined U.K.-based logistics and freight operations company FH Bertling £850,000 (U.S. $1.08 million) for a bribery scheme created to secure contracts in Angola.
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ArticleSEC finally prevails with investment advice ‘best interest’ rule
The Securities and Exchange Commission has adopted rulemaking intended to enhance the quality and transparency of investor relationships with investment advisers and broker-dealers.
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ArticleSEC takes questions on knock-on effects of new lease rules
SEC staff members met with the Center for Audit Quality’s SEC Regulations Committee to acknowledge concerns and answer questions associated with new lease accounting rules.
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Article
Bricker resigns chief accountant post at SEC
Wes Bricker, chief accountant at the Securities and Exchange Commission, is leaving his post in June, to be succeeded by Sagar Teotia as acting chief accountant.
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SEC eyeing non-GAAP numbers that alter GAAP
SEC staff members are signaling to public companies that they still have concerns over uses of non-GAAP measures that seem to thumb their nose at GAAP.
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ArticleSEC focus: Reduce burden while protecting investors
The SEC has stuck to its promise to focus on initiatives that can improve capital formation and lighten the regulatory burden.
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Article
Treasury issues Finding of Violation to State Street subsidiary
The U.S. Treasury Department has found that State Street Bank and Trust violated Iranian Transactions and Sanctions Regulations.
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ArticleReps urge White House to support blockchain
Bipartisan members of Congress are urging the Trump administration to throw its tech focus onto blockchain.
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ArticleSEC awards whistleblower $4.5M in landmark case
For the first time ever, the Securities and Exchange Commission has awarded a whistleblower whose internal reporting led to a successful SEC case and related action.
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ArticleSEC to hold roundtable on public marketplace
Coming this summer: An SEC roundtable for the public and SEC staff to discuss short-term and long-term management, the periodic reporting system, and SEC regulations.
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Article
Commerce unveils new attack on ‘currency manipulation’
The Department of Commerce has issued a notice of proposed rulemaking to impose countervailing duties on countries that act to undervalue their currency relative to the dollar.
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ArticleFSB continues push for Legal Entity Identifiers
The United States is among the laggards when it comes to international identifying codes for financial entities.