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Vol. 41, Nos. 1-42, pp. 1-1976 Jan. 5 -- Oct. 26, 2009 A | B | C | D | E | F | G | H | I | J | K | L | M | N | O | P | Q | R | S | T | U | V | W | X | Y | Z
KENYA
Cross-border enforcement, IOSCO announces new signatories to multilateral MOU, 613
Adviser charged with taking payments from unregistered pools (E.D. Wis.), 1012
Disclosure, broker liability for failure to tell clients of role in pump-and-dump scheme affirmed (2d Cir.), 1161 Finder's fees, stock-lending agent charged (E.D.N.Y.), 1868 Foreign Corrupt Practices Act N.Y., pensions, former officials face civil and criminal charges in pay to play conspiracy (S.D.N.Y., N.Y. Sup. Ct.), 526; hedge fund manager settles criminal and civil charges, 731; equity firm founder charged in scheme (N.Y. Crim. Ct.), 826; Cuomo announces subpoenas and multistate task force, 880; Carlyle Group settles claims, adopts code of conduct, 935; Los Angeles-based placement agent pleads guilty, 936; SEC sets meeting to consider rule, 1351; SEC votes to propose new rule to curb pay-to-play, 1386; panelists concerned rule will hurt small advisers, 1443; private equity firms to adopt code of conduct, 1745; commenters voice opposition to ban, 1861; 2 plead guilty, may help develop case, 1872 Pink Sheets stocks, promoter pleads guilty (S.D.N.Y.), 1868 Stock loan scheme, executive convicted for payments disguised as finders fees (E.D.N.Y.), 564 Stock price manipulation, National Lampoon CEO pleads guilty to paying for stock purchases (E.D. Pa.), 1784
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