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Securities Contracts & Regulation Act, 1956
 
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Securities Contracts (Regulation) Act, 1956. The Securities Contracts (Regulation) Act, 1956 also known as SCRA is an Act of the Parliament of India enacted to prevent undesirable exchanges in securities and to control the working of the stock exchange in India. It came into force on February 20, 1957.
Important Developments in U.S. and Canadian Securities Regulation
 
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Robert Lando discusses the impact of the new Canadian prospectus marketing rules on U.S. underwriters, changes in the U.S. private placement rules, and new market practices that will evolve throughout 2014.
Lecture 20 : Securities Contracts Regulation Act, 1956 for SEBI Grade A
 
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Lecture 20 : Securities Contracts Regulation Act, 1956 for SEBI Grade A PPT of the Lecture: https://drive.google.com/open?id=16Y5e1kSnmUt7ddALzHkRzIQnpxE47maS
Views: 3821 Sunny Gulve
Series 7 Exam Session 2 - Securities Laws
 
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Session 2 in our Series 7 exam videos. Provides an overview of the major securities laws covered in the exam. Get more answers at our forum for finance and accounting at passingscoreforum.com
Views: 59670 Passing Score
Standards-Setting Bodies: FASB, GAAP, SEC, AICPA | Intermediate Accounting | CPA Exam FAR | Chp 1 p2
 
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After the stock market crash in 1929 and the Great Depression, there were calls  for  increased  government  regulation  and  supervision—especially  financial  institutions  and  the  stock  market.  As  a  result,  the  federal  government  established  the  Securities  and  Exchange  Commission  (SEC)  to  help  develop  and  standardize  financial  information  presented  to  stockholders. The SEC is a federal agency and administers the Securities Exchange Act of 1934  and several other acts. Most companies that issue securities to the public or are listed on a stock  exchange are required to file audited financial statements with the SEC. In addition, the SEC has  broad powers to prescribe the accounting practices and standards to be employed by companies  that fall within its jurisdiction.  9.  At the time the SEC was created, it encouraged the creation of a private standards­setting  body. As a result, accounting standards have developed in the private sector either through the  American Institute of Certified Public Accountants (AICPA) or the Financial Accounting Standards  Board  (FASB).  The  SEC  has  affirmed  its  support  for  the  FASB  by  indicating  that  financial  statements  conforming  to  standards  set  by  the  FASB  will  be  presumed  to  have  substantial  authoritative support.  10.  Over its history, the SEC’s involvement in the development of accounting standards has  varied. In some cases, the private sector has attempted to establish a standard, but the SEC has  refused to accept it. In other cases, the SEC has prodded the private sector into taking quicker  action on setting standards.  11.  If  the  SEC  believes  that  an  accounting  or  disclosure  irregularity  exists  regarding  a  company’s  financial  statements,  the  SEC  sends  a  deficiency  letter  to  the  company.  If  the  company’s  response  to  the  deficiency  letter  proves  unsatisfactory,  the  SEC  has  the  power  to  issue a “stop order,” which prevents the registrant from issuing securities or trading securities on  the exchanges. Criminal charges may also be brought by the Department of Justice.  At  the  urging  of  the  SEC,  the  AICPA  appointed  the  Committee  on  Accounting  Procedure (CAP) in 1939. This group issued 51 Accounting Research Bulletins (ARBs) during  the years 1939 to 1959. In  1959,  the  AICPA  created  the  Accounting  Principles  Board  (APB).  The  major  purposes of this group were (a) to advance the written expression of accounting principles, (b) to  determine  appropriate  practices,  and  (c) to  narrow the  areas  of  difference  and  inconsistency  in  practice. Its  pronouncements,  known  as APB  Opinions,  were  intended to  be  based mainly  on  research studies and be supported by reason and analysis.  The FASB  14.  Early  in  its  existence  the  APB  was  criticized  for  lack  of  productivity  and  failing  to  act  promptly,  then  it  was  criticized  for  overreacting  to  certain  issues.  A  committee,  known  as  the  Study Group on Establishment of Accounting Principles (Wheat Committee), was set up to  study the APB  and  recommend  changes  in  its  structure  and  operation. The  result  of the Study  Group’s  findings  was  the  demise  of  the  APB  and  the  creation  of  the  Financial  Accounting  Standards Board (FASB) in 1973. The FASB represents the current rule­making body within the  accounting profession.  15.  The role of the AICPA in standard setting is now diminished, but has a Financial Reporting  Executive Committee  (FinREC), which is authorized to make public statements on behalf of the  AICPA  on  financial  reporting  matters.  FinREC  also  issues  audit  and  accounting  guides,  which  address  particular  areas  in financial  reporting.  Furthermore, the  AICPA  has  been the  leader  in  developing auditing standards through its Auditing Standards Board—but the Sarbanes­Oxley Act  now  requires  the  Public  Company  Accounting  Oversight  Board  to  oversee  the  development  of  auditing standards. The AICPA continues to develop and grade the CPA examination.  16.  The  mission  of  the  FASB  is  to  establish  and  improve  standards  of  financial  accounting  and reporting for the guidance and education of the public, which includes issuers, auditors
Insider Trading explained
 
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Jon Macey -- Sam Harris Professor of Corporate Law, Corporate Finance, and Securities Law at Yale Law School -- discusses insider trading and the competing views of the SEC and the U.S. Supreme Court.
Views: 7595 Yale Law School
How Are Individual Investors Affected by Securities Regulation? Arthur Levitt (2001)
 
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The term "investor protection" defines the entity of efforts and activities to observe, safeguard and enforce the rights and claims of a person in his role as an investor. This includes advice and legal action. The assumption of a need of protection is based on the experience that financial investors are usually structurally inferior to providers of financial services and products due to lack of professional knowledge, information or experience. Countries with stronger investor protections tend to grow faster than those with poor investor protections. Investor protection includes accurate financial reporting by public companies so the investors can make an informed decision. Investor protection also includes fairness of the market which means all participants in the market have access to the same information. Investor protection through government is regulations and enforcements by government agencies to ensure that market is fair and fraudulent activities are eliminated. An example of a government agency that provides protection to investors is the U.S. Securities and Exchange Commission (SEC), which works to protect reasonable investors in America. Investor protection through individual is the strategy that one utilizes to minimize loss. Individual investors can protect themselves by purchasing only shares of businesses that they understand, or only those that remain calm through market volatility. An individual investor may be protected by the strategy he uses in investment. The strategy includes an appropriate price of the stocks or assets in the right time he enters. It's hard to fix what "an appropriate price" is, and when it is appropriate because no one makes a purchase or a sale absolutely in his most favorable situation. However, determination may be made when the price of such share or assets are "undervalued" comparing to its potentiality. This is called the margin of safety where an investor can feel at east when the price of the stocks is alarmingly down. A disciplined and structured investment plan prevents emotional investing which can be related to impulsive buying. This factor can be utilized to counteract the sentiments of a marketplace, which is often reflective of the emotional state of an entire population. Short-term activity in stock prices or the broader markets can frequently be compared to impulsive actions. This is seen in the term "bull run" which can induce investors to leap into an investment, as opposed to a "bearish market" that could influence a "sell-off". It is these types of market scenarios that can cause investors to abandon their investment strategies. Investor discipline is the ability to maintain an investment strategy even in the most tempting, or extreme conditions in the marketplace. An established and popular method for stock market investors is Systematic Investment Plans (SIPs) especially for those who have a regular, monthly surplus income. The provision for reaping maximum benefits from these plans is that a disciplined strategy is maintained, one of the foremost advantages for a successful investor. According to Marketwatch, consistency is closely associated with an investment strategy and can be related to various, adopted, proven techniques; for example, predicting outperforming funds, valuation, or a technical strategy. A strategic advantage that meets the required consistency is long-term investment, which in turn, offers investors long-term capital gains tax advantages. While many investors try to exercise a long-term disciplined approach, the investment marketplace can provide various, tempting options; for instance, a sudden drop in the marketplace, or a pending worldwide event. This is particularly prevalent for retired investors, who are preserving their capital with care. Disciplined investment strategies say Marketwatch should be maintained in any eventuality, including taking advantage of available, favorable opportunities, such as, following a downturn in the market or the ability to remain steady in times of severe market fluctuations. http://en.wikipedia.org/wiki/Investor
Views: 74 Way Back
Learn about Harbor's New Digital Securities Platform
 
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Harbor is a compliance platform for tokenizing private securities, ensuring compliance with existing securities laws at issuance and secondary trading. The company is a Gold Corporate Member of the Security Token Academy. https://www.securitytokenacademy.com/?cmd=view-exchange&startup-id=2017&section=6&id=56&card-id=23 Joshua Stein, co-founder and CEO of Harbor, sits down with Security Token Academy host Adam Chapnick to discuss the company's role in the security token industry. You’ll learn about: -The story of how and why Harbor was created -The difference between securitization and tokenization -Tokenization across different asset classes -The importance of liquidity -The tokenization of startups, sports teams and real estate -Harbor’s first STO: The Hub at Columbia -Harbor's new Digital Securities Platform -The lifecycle of a security token -The team behind Harbor's operations For more information visit: https://www.securitytokenacademy.com/
China's securities regulator tightens rules for major share sell-downs
 
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China's securities regulator China Securities Regulatory Commission (CSRC) is tightening the rules for major stock sell-downs by large shareholders. The commission said the new rules aim to prevent large shareholders from reducing their holdings in a chaotic fashion that disturbs market order and dents investor confidence. Subscribe to us on YouTube: https://goo.gl/lP12gA Watch CGTN Live: https://www.youtube.com/watch?v=L2-Aq7f_BwE Download our APP on Apple Store (iOS): https://itunes.apple.com/us/app/cctvnews-app/id922456579?l=zh&ls=1&mt=8 Download our APP on Google Play (Android): https://play.google.com/store/apps/details?id=com.imib.cctv Follow us on: Facebook: https://www.facebook.com/ChinaGlobalTVNetwork/ Instagram: https://www.instagram.com/cgtn/?hl=zh-cn Twitter: https://twitter.com/CGTNOfficial Pinterest: https://www.pinterest.com/CGTNOfficial/ Tumblr: http://cctvnews.tumblr.com/ Weibo: http://weibo.com/cctvnewsbeijing
Views: 139 CGTN
Securities Contract Regulation Act (SCRA) For CA Final May 19 exams by Darshan Khare Sir
 
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This chapter contains the Securities Contract Regulation Act i.e SCRA for CA Final May 19 exams. Hope you all loved the same. 1500 MCQ's by Darshan Khare sir https://imini.in/RjpgK Cover entire law for May 19 👇 from various renowned faculties. Pending chapter to be uploaded soon https://www.youtube.com/playlist?list=PLHUK5s4EiWRfvKo_nvUCsq71P3KlZ-j3v Audit MCQ sessions MCQ Session by Pankaj Garg Sir part-1 https://youtu.be/4lW8134hHYU Part-2 https://youtu.be/kwxhbsPly1M MCQ session on company audit by Sanidhya Saraf Sir https://youtu.be/GLRZlb7kV90 Telegram Channel- https://t.me/HappyCAs Telegram Group- https://t.me/joinchat/KIV6PFJ65AP1SUYk7h4rlg
Views: 8650 HAPPY CA
Regulation A – Types of Securities
 
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Regulation A – Types of Securities- Regulation A limits securities that may be issued under the rules to equity securities, including common and preferred stock and options, warrants and other rights convertible into equity securities, debt securities and debt securities convertible or exchangeable into equity securities, including guarantees. If convertible securities or warrants are offered that may be exchanged or exercised within one year of the offering statement qualification (or at the option of the issuer), the underlying securities must also be qualified and the value of such securities must be included in the aggregate offering value. Accordingly, the underlying securities will be included in determining the offering limits of $20 million and $50 million, respectively. Asset-backed securities are not allowed to be offered in a Regulation A+ offering. REIT’s and other real estate-based entities may use Regulation A+ and provide information similar to that required by a Form S-11 registration statement. Continuous or delayed offerings (a form of a shelf offering) will be allowed if (i) they commence within two days of the offering statement qualification date, (ii) are made on a continuous basis, (iii) will continue for a period of in excess of thirty days following the offering statement qualification date, and (iv) at the time of qualification are reasonably expected to be completed within two years of the qualification date. Issuers that are current in their Tier 2 reporting requirements may make continuous or delayed offerings for up to three years following qualification of the offering statement. Moreover, in the event a new qualification statement is filed for a new Regulation A+ offering, unsold securities from a prior qualification may be included, thus carrying those unsold securities forward for an additional three-year period. Continuous or delayed offerings are available for all securities qualified in the offering, including securities underlying convertible securities, securities offered by an affiliate or other selling security holder, and securities pledged as collateral. In the next LawCast in this series I will talk about Testing the Waters, and general solicitation and advertising in Regulation A offerings. #LegalAndComplianceLLC
What Does the Securities and Exchange Commission Do? Rules, Regulations (1989)
 
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Prior to the enactment of the federal securities laws and the creation of the SEC, there existed so-called blue sky laws. They were enacted and enforced at the state level, and regulated the offering and sale of securities to protect the public from fraud. Though the specific provisions of these laws varied among states, they all required the registration of all securities offerings and sales, as well as of every U.S. stockbroker and brokerage firm.[4] However, these blue sky laws were generally found to be ineffective. For example, the Investment Bankers Association told its members as early as 1915 that they could "ignore" blue sky laws by making securities offerings across state lines through the mail.[5] After holding hearings on abuses on interstate frauds (commonly known as the Pecora Commission), Congress passed the Securities Act of 1933 (15 U.S.C. § 77a), which regulates interstate sales of securities (original issues) at the federal level. The subsequent Securities Exchange Act of 1934 (15 U.S.C. § 78d) regulates sales of securities in the secondary market. Section 4 of the 1934 act created the U.S. Securities and Exchange Commission to enforce the federal securities laws; both laws are considered parts of Franklin D. Roosevelt's New Deal raft of legislation. The Securities Act of 1933 is also known as the "Truth in Securities Act" and the "Federal Securities Act”, or just the "1933 Act." Its goal was to increase public trust in the capital markets by requiring uniform disclosure of information about public securities offerings. The primary drafters of 1933 Act were Huston Thompson, a former Federal Trade Commission (FTC) chairman, and Walter Miller and Ollie Butler, two attorneys in the Commerce Department's Foreign Service Division, with input from Supreme Court Justice Louis Brandeis. For the first year of the law's enactment, the enforcement of the statute rested with the Federal Trade Commission, but this power was transferred to the SEC following its creation in 1934. (Interestingly, the first, rejected draft of the Securities Act written by Samuel Untermyer vested these powers in the U.S. Post Office, because Untermyer believed that only by vesting enforcement powers with the postal service could the constitutionality of the act be assured.[5]) The law requires that issuing companies register distributions of securities with the SEC prior to interstate sales of these securities, so that investors may have access to basic financial information about issuing companies and risks involved in investing in the securities in question. Since 1994, most registration statements (and associated materials) filed with the SEC can be accessed via the SEC’s online system, EDGAR.[6] The Securities Exchange Act of 1934 is also known as "the Exchange Act" or "the 1934 Act". This act regulates secondary trading between individuals and companies which are often unrelated to the original issuers of securities. Entities under the SEC’s authority include securities exchanges with physical trading floors such as the New York Stock Exchange (NYSE), self-regulatory organizations (SROs) such as the National Association of Securities Dealers (NASD), the Municipal Securities Rulemaking Board (MSRB), online trading platforms such as the NASDAQ Stock Market (NASDAQ) and alternative trading systems (ATSs), and any other persons (e.g., securities brokers) engaged in transactions for the accounts of others.[7] President Roosevelt appointed Joseph P. Kennedy, Sr., father of President John F. Kennedy, to serve as the first Chairman of the SEC, along with James M. Landis (one of the architects of the 1934 Act and other New Deal legislation) and Ferdinand Pecora (Chief Counsel to the United States Senate Committee on Banking and Currency during its investigation of Wall Street banking and stock brokerage practices). Other prominent SEC commissioners and chairmen include William O. Douglas (who went on to be a U.S. Supreme Court justice), Jerome Frank (one of the leaders of the legal realism movement), and William J. Casey (who later headed the Central Intelligence Agency under President Ronald Reagan). https://en.wikipedia.org/wiki/U.S._Securities_and_Exchange_Commission
Views: 1741 Remember This
Regulation A+ - Sale and Resale of Equity Securities
 
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Securities LawCast©- Legal & Compliance, LLC- Regulation A+ - Sale and Resale of Equity Securities On March 25, 2015, the SEC released final rules amending Regulation A. The new rules are commonly referred to as Regulation A+. Tier I of Regulation A+, which does not preempt state law, allows for a raise of up to $20 million in any 12-month period and Tier II, which does preempt state law, allows a raise of up to $50 million in any 12-month period. Issuers may elect to proceed under either Tier I or Tier II for offerings up to $20 million. Tier II offerings require additional disclosures and ongoing reporting requirements. I have previously discussed eligibility requirements and the availability of marketing and advertising for both Tier 1 and Tier II offerings. Today I am touching on the types of securities that are eligible for a Regulation A+ offering. Regulation A+ is available for the sale or resale of equity securities, including: • Common and preferred stock; • Stock options • Warrants • Convertible debt • Any other rights convertible into equity securities; • Dividends on preferred or other equity securities payable in an equity security • Pledged or guaranteed equity securities If convertible securities or warrants are offered that may be converted or exchanged within one year of the offering statement qualification, or at any time at the sole option of the issuer, the underlying securities must also be qualified in the offering and included in the aggregate offering value. Accordingly, the underlying securities will be included in determining the offering limits of $20 million and $50 million respectively. Laura Anthony, Esq. Founding Partner Legal & Compliance LLC. 330 Clematis Street, Ste. 217 West Palm Beach, FL 33401 Phone: Toll Free: (800) 341-2684 FREE Local: (561) 514-0936 Email: [email protected] #LawCast
What Is the Securities & Exchange Commission? Is It Effective? U.S. Finance
 
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Within the SEC, there are five divisions. Headquartered in Washington, D.C., the SEC has 11 regional offices throughout the US. The SEC's divisions are:[10] Corporation Finance Trading and Markets Investment Management Enforcement Economic and Risk Analysis Corporation Finance is the division that oversees the disclosure made by public companies, as well as the registration of transactions, such as mergers, made by companies. The division is also responsible for operating EDGAR. The Trading and Markets division oversees self-regulatory organizations such as the Financial Industry Regulatory Authority (FINRA) and Municipal Securities Rulemaking Board (MSRB) and all broker-dealer firms and investment houses. This division also interprets proposed changes to regulations and monitors operations of the industry. In practice, the SEC delegates most of its enforcement and rulemaking authority to FINRA. In fact, all trading firms not regulated by other SROs must register as a member of FINRA. Individuals trading securities must pass exams administered by FINRA to become registered representatives.[11][12] The Investment Management Division oversees registered investment companies, which include mutual funds, as well as registered investment advisors. These entities are subject to extensive regulation under various federals securities laws.[13] The Division of Investment Management administers various federal securities laws, in particular the Investment Company Act of 1940 and Investment Advisers Act of 1940. This division's responsibilities include:[14] assisting the Commission in interpreting laws and regulations for the public and SEC inspection and enforcement staff; responding to no-action requests and requests for exemptive relief; reviewing investment company and investment adviser filings; assisting the Commission in enforcement matters involving investment companies and advisers; and advising the Commission on adapting SEC rules to new circumstances. The Enforcement Division works with the other three divisions, and other Commission offices, to investigate violations of the securities laws and regulations and to bring actions against alleged violators. The SEC generally conducts investigations in private. The SEC's staff may seek voluntary production of documents and testimony, or may seek a formal order of investigation from the SEC, which allows the staff to compel the production of documents and witness testimony. The SEC can bring a civil action in a U.S. District Court, or an administrative proceeding which is heard by an independent administrative law judge (ALJ). The SEC does not have criminal authority, but may refer matters to state and federal prosecutors. The director of the SEC's Enforcement Division Robert Khuzami left the office in February 2013.[15] Among the SEC's offices are: The Office of General Counsel, which acts as the agency's "lawyer" before federal appellate courts and provides legal advice to the Commission and other SEC divisions and offices; The Office of the Chief Accountant, which establishes and enforces accounting and auditing policies set by the SEC. This office has played a role in such areas as working with the Financial Accounting Standards Board to develop Generally Accepted Accounting Principles, the Public Company Accounting Oversight Board in developing audit requirements, and the International Accounting Standards Board in advancing the development of International Financial Reporting Standards; The Office of Compliance, Inspections and Examinations, which inspects broker-dealers, stock exchanges, credit rating agencies, registered investment companies, including both closed-end and open-end (mutual funds) investment companies, money funds. and Registered Investment Advisors; The Office of International Affairs, which represents the SEC abroad and which negotiates international enforcement information-sharing agreements, develops the SEC's international regulatory policies in areas such as mutual recognition, and helps develop international regulatory standards through organizations such as the International Organization of Securities Commissions and the Financial Stability Forum; The Office of Investor Education and Advocacy, which helps educate the public about securities markets and warns investors of fraud and stock market scams; The Office of Economic Analysis, which helps the SEC estimate the economic costs and benefits of its various rules and regulations; and The Office of Information Technology, which supports the Commission and staff in information technology, including application development, infrastructure operations. and engineering, user support, IT program management, capital planning, security, and enterprise architecture. The Inspector General. The SEC announced in January 2013 that it had named Carl Hoecker the new inspector general.[16][17] He has a staff of 22. https://en.wikipedia.org/wiki/U.S._Securities_and_Exchange_Commission
Views: 6274 Way Back
China releases new rules for foreign investment in the securities sector
 
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China has released new regulations on foreign investment in the securities sector, as the government takes steps to further open its market. The rules now allow foreign investors to take a controlling stake in joint-venture securities firms, and will gradually expand the business scope of such firms. Subscribe to us on YouTube: https://goo.gl/lP12gA Download our APP on Apple Store (iOS): https://itunes.apple.com/us/app/cctvnews-app/id922456579?l=zh&ls=1&mt=8 Download our APP on Google Play (Android): https://play.google.com/store/apps/details?id=com.imib.cctv Follow us on: Facebook: https://www.facebook.com/ChinaGlobalTVNetwork/ Instagram: https://www.instagram.com/cgtn/?hl=zh-cn Twitter: https://twitter.com/CGTNOfficial Pinterest: https://www.pinterest.com/CGTNOfficial/ Tumblr: http://cctvnews.tumblr.com/ Weibo: http://weibo.com/cctvnewsbeijing
Views: 466 CGTN
Bizwatch - Brokers and Traders Opposed SEC IRR on Securities Regulation Code
 
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For our first issue this week, the feud between the country’s brokers and traders has not abated. The Philippine Association of Brokers and Dealers Inc. filed a petition with the courts to stop the implementation of certain provisions of the 2015 implementing rules and regulations of the Securities Regulation Code.
Rule 144
 
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Rule 144- Rule 144 sets forth certain requirements for the use of Section 4(1) for the resale of securities. Section 4(1) of the Securities Act provides an exemption for a transaction “by a person other than an issuer, underwriter, or dealer.” The terms “Issuer” and “dealer” have pretty straightforward meanings under the Securities Act, but the term “underwriter” does not. Rule 144 provides a safe harbor from the definition of “underwriter.” If all the requirements for Rule 144 are met, the seller will not be deemed an underwriter and the purchaser will receive unrestricted securities. Although not set out in the statute, all transfer agents and Issuers, along with most clearing and brokerage firms, require an opinion of counsel as to the application of Rule 144 prior to removing the legend from securities and allowing their sale under Rule 144. The opinion letter must set forth that the facts regarding that Issuer, particular stock and selling shareholder comply with the requirements under Rule 144. Rule 144 only addresses the resale of restricted or control securities, not unrestricted securities or sales directly by an Issuer. Unrestricted securities (such as securities that have been registered under the Securities Act) may be sold without reference or regard to the Rule. Control securities are those securities held by an affiliate of the issuing company, and restricted securities are securities acquired in unregistered, private sales from the issuing company or from an affiliate of the Issuer. Rule 144 provides certain conditions that must be met for sales by both affiliates and non-affiliates which conditions vary depending on whether the Issuer of the securities is a reporting or non-reporting Issuer. The following chart summarizes the Rule 144 requirements... Laura Anthony, Esq. Founding Partner Legal & Compliance LLC. 330 Clematis Street, Ste. 217 West Palm Beach, FL 33401 Phone: Toll Free: (800) 341-2684 FREE Local: (561) 514-0936 Email: [email protected] #LawCast
RTC stops 'disclosure' in Securities Regulation Code's IRR
 
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The Mandaluyong Regional Trial Court (RTC) has issued a temporary restraining order (TRO) on certain provisions of the Securities Regulation Code's implementing rules and regulations (IRR). Subscribe to the ABS-CBN News channel! - http://bit.ly/TheABSCBNNews Visit our website at http://news.abs-cbn.com Facebook: https://www.facebook.com/abscbnNEWS Twitter: https://twitter.com/abscbnnews
Views: 646 ABS-CBN News
U.S. securities regulator grants Wall Street EU research rules reprieve
 
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WASHINGTON (Reuters) - The U. S. Securities and Exchange Commission (SEC) said on Thursday it would grant Wall Street a 30 month-grace period that will allow them to comply with sweeping new European Union investment research rules without overhauling their operations.The reprieve comes ahead of Europe’s MiFID II trading rules, which will overhaul how investment managers pay for research provided by banks beginning in January.Under MiFID II, brokers will have to charge separately for research, instead of bundling the fees together with other services, such as trading.The new rules aim to eliminate conflicts of interest by giving investors greater transparency over how much they pay banks for discrete services.EU regulators say this should incentivize brokers to produce better quality research and allow investors to execute trades with banks that offer the best price.Some global investment banks risk losing up to $240 million (£188 million) in business by 2020 under the new rules, according to financial consultancy Quinlan & Associates.Many global U. S. brokers servicing European clients will need to comply with the EU rules, but are technically barred from doing so due to a quirk of U.S. federal securities law. This sparked concerns that U. S. brokers would have to overhaul their operations to continue serving European clients, or EU investors would lose access to valuable U.S. research. On Thursday, the SEC issued three so-called ‘no action relief’ letters that will allow U.S. market participants to comply with the rules in a way that is consistent with U.S. law, the regulator said. The letters were drawn up following discussion with the European Union and will allow the SEC more time to assess how, if at all, it can reconcile its rules with MiFID.“Today’s no-action relief was designed. to reduce confusion and operational difficulties that might arise in the transition to MiFID II’s research provisions,” SEC Chairman Jay Clayton said in a statement.“These steps should preserve investor access to research in the near term, during which the Commission can assess the need for any further action.”Because U. S. and EU firms are the biggest participants in each others’ markets, MiFID has caused a slew of cross-border compliance issues for U.S. firms and trading platforms across a range of asset classes. Earlier this month, the U.S. Commodity Futures Trading Commission said it had reached a preliminary deal with the European Union to recognize each others’ derivatives rules under MiFID II.
Financial Investing and Securities Regulation: Investing in Stocks - Education (1998)
 
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The SEC has been criticized "for being too 'tentative and fearful' in confronting wrongdoing on Wall Street", and for doing "an especially poor job of holding executives accountable." Christopher Cox, the former SEC chairman, has recognized the organization's multiple failures in relation to the Bernard Madoff fraud.[29] Starting with an investigation in 1992 into a Madoff feeder fund that only invested with Madoff, and which, according to the SEC, promised "curiously steady" returns, the SEC did not investigate indications that something was amiss in Madoff's investment firm.[30] The SEC has been accused of missing numerous red flags and ignoring tips on Madoff's alleged fraud.[31] As a result, Cox said that an investigation would ensue into "all staff contact and relationships with the Madoff family and firm, and their impact, if any, on decisions by staff regarding the firm".[32] SEC Assistant Director of the Office of Compliance Investigations Eric Swanson had met Madoff's niece, Shana Madoff, when Swanson was conducting an SEC examination of whether Bernard Madoff was running a Ponzi scheme because she was the firm's compliance attorney. The investigation was closed, and Swanson subsequently left the SEC, and married Shana Madoff.[33] Approximately 45 per cent of institutional investors thought that better oversight by the SEC could have prevented the Madoff fraud.[34] Harry Markopolos complained to the SEC's Boston office in 2000, telling the SEC staff they should investigate Madoff because it was impossible to legally make the profits Madoff claimed using the investment strategies that he said he used.[35] A similar failure occurred in the case of Allen Stanford, who sold fake certificates of deposit to tens of thousands of people, many of them working-class retirees. In 1997, the SEC's own examiners spotted the fraud and warned about it. But the Enforcement division would not pursue Stanford, despite repeated warnings by SEC examiners over the years.[36] After the Madoff fraud emerged, the SEC finally took action against Stanford in 2009. In June 2010, the SEC settled a wrongful termination lawsuit with former SEC enforcement lawyer Gary J. Aguirre, who was terminated in September 2005 following his attempt to subpoena Wall Street figure John J. Mack in an insider trading case involving hedge fund Pequot Capital Management;[37] Mary Jo White, who was at the time representing Morgan Stanley later nominated as chair of the SEC, was involved in this case.[38] While the insider case was dropped at the time, a month prior to the SEC's settlement with Aguirre the SEC filed charges against Pequot.[37] The Senate released a report in August 2007 detailing the issue and calling for reform of the SEC.[39] Others have criticized the SEC for taking an overly rule-based and enforcement-focused approach to regulation, rather than an approach that emphasizes industry-wide safety and learning and thus ensures the reliability of the national securities trading system. https://en.wikipedia.org/wiki/U.S._Securities_and_Exchange_Commission Financial regulation is a form of regulation or supervision, which subjects financial institutions to certain requirements, restrictions and guidelines, aiming to maintain the integrity of the financial system. This may be handled by either a government or non-government organization. Financial regulation has also influenced the structure of banking sectors, by decreasing borrowing costs and increasing the variety of financial products available. In most cases, financial regulatory authorities regulate all financial activities. But in some cases, there are specific authorities to regulate each sector of the finance industry, mainly banking, securities, insurance and pensions markets, but in some cases also commodities, futures, forwards, etc. For example, in Australia, the Australian Prudential Regulation Authority (APRA) supervises banks and insurers, while the Australian Securities and Investments Commission (ASIC) is responsible for enforcing financial services and corporations laws. Sometimes more than one institution regulates and supervises the banking market, normally because, apart from regulatory authorities, central banks also regulate the banking industry. For example, in the USA banking is regulated by a lot of regulators, such as the Federal Reserve System, the Federal Deposit Insurance Corporation, the Office of the Comptroller of the Currency, the National Credit Union Administration, the Office of Thrift Supervision, as well as regulators at the state level. https://en.wikipedia.org/wiki/Financial_regulation
Views: 78 Way Back
ICMA Webinar: CSD Regulation Mandatory Buy-ins
 
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CSD Regulation primarily focuses on the prudential, organizational, and business standards of EU and EEA central securities depositories (CSDs). However, the Settlement Discipline provisions of the regulation have direct and far-reaching trading implications, in particular the framework for mandatory buy-ins. The design of the CSDR buy-in framework is very different to conventional buy-in processes and presents a number of risks and new considerations for market participants, particularly when they sell or lend securities. This webinar will present an overview of the CSDR mandatory buy-in provisions and contrast these with more conventional processes. It will also explore the likely implications for market risk and potential adverse behavioural incentives for European bond and repo market participants. Topics covered by Andy Hill, Senior Director, Market Practice and Regulatory Policy, ICMA will include: - CSDR Settlement Discipline & mandatory buy-ins - Conventional buy-ins vs CSDR mandatory buy-ins - The CSDR mandatory buy-in asymmetry - Potential risks and adverse behavioural impacts of CSDR mandatory buy-ins - Challenges of applying CSDR mandatory buy-ins to SFTs - What ICMA is doing with respect to CSDR-SD
Views: 510 theICMA
Philippines Securities Regulator Issues Draft of ICO Rules, Requests Feedback From Public
 
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Philippines Securities Regulator Issues Draft of ICO Rules, Requests Feedback From Public The Philippines Securities and Exchange Commission (SEC) has published a set of draft rules for regulating Initial Coin Offerings (ICOs) for public review, according to an official statement August 2. In the SEC’s Memorandum Circular, the agency stipulates that any company registered in the Philippines looking to run an ICO, or any ICO selling tokens to Filipinos, must submit an “initial assessment request” to the Commission to determine whether or not their token is a security. The regulator sp... --------------------- Don't Forget Subscribe: https://www.youtube.com/channel/UCz6hJLxgBvZsaa3_IUt5IyQ?sub_confirmation=1
Views: 4 P News
SEBI (SECURITIES AND EXCHANGE BOARD OF INDIA)
 
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Preparing for competition ??? watch brief video of SEBI. SOME MORE HELPFUL VIDEOS (MUST WATCH) : PANCHAYATI RAJ AND MUNICIPALITY IN INDIA https://youtu.be/-IbnQkJBH8c :UNIFIED PAYMENT INTERFACE || BHARAT INTERFACE FOR MONEY https://youtu.be/AcK1JpLwS9I : NATIONAL AUTOMATED CLEARING HOUSE (NACH) || NATIONAL FINANCIAL SWITCH (NFS) https://youtu.be/EQmu0ER-sz8 : NATIONAL PAYMENTS CORPORATION OF INDIA https://youtu.be/rksejwre_Q0 : THE INDIA MYANMAR LAND BORDER CROSSING AGREEMENT || TRILATERAL HIGHWAY || KALADAN TRANSPORT PROJECT https://youtu.be/CSCgDWXk9nc : LEMOA, COMCASA AND BECA https://youtu.be/lLdouE_EqdU : QUEEN ELIZABETH APPROVES BREXIT LAW.(ASSENT TO PM THERESA MAY) https://youtu.be/n8PdX9Gy9RY : PRESIDENT OF INDIA & GOVERNOR OF STATES https://youtu.be/qnkctRCEqhE : FINANCE COMMISSION OF INDIA https://youtu.be/BH3La6yFM00 : SHORT TRICK FOR SQUARE ROOT AND CUBE ROOT https://youtu.be/7KeHZZL2T08 : SHANGHAI COOPERATION ORGANISATION https://youtu.be/Js66O3v_sTA : COLLEGIUM SYSTEM https://youtu.be/MrwuNb56lcc : ATTORNEY GENERAL OF INDIA https://youtu.be/xFJt7S3LC9k : WORLD TRADE ORGANIZATION https://youtu.be/xXuYcKCIe5k : OPEC https://youtu.be/BMcjl4hYxJA : PLANNING IN INDIA (FIVE YEAR PLAN ) https://youtu.be/sDAiOFiwYrY : SCHEDULES OF INDIAN CONSTITUTION https://youtu.be/PFxX_BtUzjI : INSURANCE REGULATORY AND DEVELOPMENT AUTHORITY OF INDIA (IRDAI) https://youtu.be/xojTrXb4qTg : NOBEL PRIZE https://youtu.be/QWllevoNX_s : SEBI (SECURITIES AND EXCHANGE BOARD OF INDIA) https://youtu.be/kWOmKgmRGtE : LETS DO CALCULATION EASY https://youtu.be/1e3ZrKtfr9U : EFT, NEFT, RTGS, IMPS? https://youtu.be/FuxSISy919o : NITI AYOG https://youtu.be/GfDH28FAytk : G4 G7 G20 COUNTRIES https://youtu.be/RnmUjgBQzT8 : SAARC AND BIMSTEC https://youtu.be/60hoPSd_KOU : FDI & FII https://youtu.be/6It4mvxmcmo : INDUS WATER TREATY https://youtu.be/KqeI5mqc7ww : RBI AND ITS FUNCTION https://youtu.be/rY6nbTxzLDs : BRICS https://youtu.be/1iKe8bCcw88 : CPEC https://youtu.be/tbjm48jv8rg : ISRO https://youtu.be/cVD9WblyYWs : MTCR https://youtu.be/wq3JxLrvoZM : NPT & NSG https://youtu.be/0QMnJHePZCE : NITI FORUM FOR NORTH EAST. https://youtu.be/V8TQ4lN7k6w : UNITED NATIONS (PART-1) https://youtu.be/NptpOG93IIY : UNITED NATIONS (PART-2) https://youtu.be/5cRrkTyQd4Q : HOW INDIAN RUPEE VALUE IS DETERMINED? https://youtu.be/K0oNbyjdEMc : WORLD BODIES (G4,G7,G20 NATIONS) https://youtu.be/RnmUjgBQzT8
Views: 32765 Deep Talks
CA Final G1-Securities  contracts Regulation Act(SCRA),1956 part1 on http://cakart.in video
 
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Crack CA Final in the 1st attempt. Get India's best faculty video classes for best study at home. Give missed call @9980100288. International students - visit https://www.cakart.in and chat. A smart decision today can save you a lot of time (years) in your career. Give missed call @9980100288 now. This lecture sample from Ideal Classes covers the topic-SCRA from the subject - - Corporate and Allied Laws of CA Final G1 .For the Video Lecture + eBooks + Question bank package please visit http://www.cakart.in
Views: 6083 CA KART
1.7.1 Eric Chaffee - Informatics and Securities Regulation.mov
 
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This video series is made available from the Northern Kentucky University Law Review Symposium in conjunction with the NKU Chase Law & Informatics Institute. This collection of materials from the March1-2, 2012 provides a permanent collection of the exceptional presentations provided by the participants. This video features Eric Chaffee on the topic of Informatics and Securities Regulation. From the program abstract: "Informatics and Securities Regulation: Exploring the Role of Securities Law on the Internet and within Virtual Worlds" Presented by Eric Chaffee The advent of the internet has given birth to worlds that transcend traditional "brick and mortar" reality and exist only in cyberspace. These virtual worlds present new opportunities for study and research because of their similarities and dissimilarities with the real world. The nascent institutions of these virtual worlds offer unique opportunities for regulators to understand the development of political, financial, and other sorts of institutions and to experiment with how to regulate them. This presentation will explore how information impacting securities transactions should be regulated on the internet and within virtual worlds. A myriad of different regulatory options will be explored, and an argument will be made that the best solution to regulating securities markets in virtual worlds is to create a transnational entity to promulgate and enforce a harmonized and centralized system of securities regulation. This approach offers the best solution to securities regulation in virtual worlds because of the global presence of the internet. In addition, this approach offers an opportunity to experiment with globalized securities regulation, an idea with which many nations have flirted, but have refused to undertake. About the NKU Chase law & Informatics Institute: Formed in August 2011, the NKU Chase Law & Informatics Institute provides a critical interdisciplinary approach to the study, research, scholarship, and practical application of informatics, focusing on the regulation and utilization of information -- including its creation, acquisition, aggregation, security, manipulation and exploitation -- across all fields, such as intellectual property law, privacy law, evidence (regulating government and the police), health law, business law, and international law. Through academic and business partnerships, the Law & Informatics Institute will address the growing issues of law, ethics, security and privacy in the global, digital age.
Views: 112 lawandinformatics
The Canadian Institute's Securities Regulation Forum -- Chair, Prema K.R. Thiele
 
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The Canadian Institute's Securities Regulation Forum -- Chair, Prema K.R. Thiele Sneak Preview of the upcoming Securities Regulation Forum from Conference Chair, Prema K.R. Thiele, Partner, Borden Ladner Gervais LLP. 23rd Annual Forum on Securities Regulation November 19-20, 2013, Toronto For more information, visit www.CanadianInstitute.com/Securities
Savings & Loan Is a Sick Industry: Securities Regulation & Depository Institutions (1989)
 
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Joseph Grundfest is an American academic. He is the William A. Franke Professor of Law and Business at Stanford Law School and co-director of the Rock Center on Corporate Governance at Stanford University. He joined Stanford's faculty in 1990 after having served for more than four years as a Commissioner of the United States Securities and Exchange Commission, a position to which he was appointed by President Ronald Reagan.[1][2] Grundfest’s scholarship in the areas of corporate law, securities regulation, and litigation has been published in the Harvard, Yale, and Stanford Law Reviews.[1] The National Law Journal lists Grundfest as among the nation’s 100 most influential attorneys, and California Lawyer has listed Grundfest as among the top 10 lawyers in California. Prior to joining the SEC, Grundfest served as counsel and senior economist for legal and regulatory matters at the President’s Council of Economic Advisors. An attorney and economist, Grundfest has also practiced law with Wilmer, Cutler & Pickering, and has served as an economist with the Brookings Institution and the Rand Corporation. Grundfest holds a bachelor's degree in economics from Yale University (1973) and completed the M.Sc. program in mathematical economics and econometrics at the London School of Economics (1972).[1] His law degree is from Stanford (1978) where he also completed all requirements for a doctorate in economics but for the dissertation (1978). Grundfest is founder and director of Directors’ College at Stanford Law School, and principal investigator for Stanford Law School’s Securities Class Action Clearinghouse. He has served on the New York Stock Exchange’s Legal Advisory Board, on the NASDAQ Legal Advisory Committee, on a rules committee of the United States District Court for the Northern District of California, and has been elected to membership in the American Law Institute. Grundfest has been selected as a National Fellow by the Hoover Institution, has been awarded a John M. Olin Faculty Fellowship, and is an Adjunct Scholar of the American Enterprise Institute. Grundfest is admitted to practice in California and in the District of Columbia. Grundfest has twice received the John Bingham Hurlbut Award for Excellence in Teaching as well as the Associated Students of Stanford University award as the best professor at the Stanford Law, Business, and Medical Schools. Grundfest is also a co-founder and director of Financial Engines, Inc., chairman of the board nominating committee of the NASDAQ Stock Market, and was formerly a director of Oracle Corporation. He was a member of the Special Litigation Committee in the 2003 case In Re Oracle Corp. Derivative Litigation, 824 A.2d 917. Grundfest's independence, as a member of the Special Litigation Committee, was particularly scrutinized (and found questionable) by the Delaware Chancery Court because of Oracle's ties to Grundfest's alma mater and employer, Stanford University. 824 A.2d 917, 946. In 2010 Grundfest filed an affidavit with the US District Court in SEC v. Bank of America Corporation (No. 1-09-cv-06829), complaint under cause of action of Securities Fraud.[3] At the onset of the litigation SEC and Bank of America Corporation filed with the Court a proposed settlement for $33 million. Grundfest's affidavit supported the Settlement Agreement then before the Court, which was eventually rejected. https://en.wikipedia.org/wiki/Joseph_Grundfest
Views: 125 Remember This
Philippines Securities Regulator Issues Draft of ICO Rules, Requests Feedback From Public
 
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Philippines Securities Regulator Issues Draft of ICO Rules, Requests Feedback From Public The Philippines Securities and Exchange Commission (SEC) has published a set of draft rules for regulating Initial Coin Offerings (ICOs) for public review, according to an official statement August 2. In the SEC’s Memorandum Circular, the agency stipulates that any company registered in the Philippines looking to run an ICO, or any ICO selling tokens to Filipinos, must submit an “initial assessment request” to the Commission to determine whether or not their token is a security. The regulator sp... --------------------- Don't Forget Subscribe: https://www.youtube.com/channel/UCz6hJLxgBvZsaa3_IUt5IyQ?sub_confirmation=1
Views: 1 P News
China encourages companies to restructure via M&A
 
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China's securities regulator has revised a set of rules to make it easier for listed companies to restructure through mergers and acquisitions (M&A). The China Securities Regulatory Commission (CSRC) said the acquiring company will not have to disclose the estimated value of the M&A transaction, the financial indicators of the counterparty being acquired or its business performance. The move aims to help all sides focus more on getting the restructuring right. It's also seen as part of China's efforts to reform its equity markets to better serve the real economy. Subscribe to us on YouTube: https://goo.gl/lP12gA Download our APP on Apple Store (iOS): https://itunes.apple.com/us/app/cctvnews-app/id922456579?l=zh&ls=1&mt=8 Download our APP on Google Play (Android): https://play.google.com/store/apps/details?id=com.imib.cctv Follow us on: Website: https://www.cgtn.com/ Facebook: https://www.facebook.com/ChinaGlobalTVNetwork/ Instagram: https://www.instagram.com/cgtn/?hl=zh-cn Twitter: https://twitter.com/CGTNOfficial Pinterest: https://www.pinterest.com/CGTNOfficial/ Tumblr: http://cctvnews.tumblr.com/ Weibo: http://weibo.com/cctvnewsbeijing
Views: 261 CGTN
Regulating Entities Filing IFRS Financial Statements - A Former Securities Regulator's Experience So
 
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Executive IFRS workshop for regulators, 3-7 June 2013, Vienna Presented by Philippe Danjou, Board Member, IASB The CFRR and the International Accounting Standards Board (IASB) jointly organized a five-day Executive IFRS Seminar for financial regulators from 3 to 7 June 2013 in Vienna. Financial regulators’ ability to effectively supervise the institutions which they are responsible for overseeing and, in particular, to monitor that these institutions are meeting the required prudential standards, including the internationally agreed Basel III rules and the EU’s Solvency II framework for insurance, relies on their understanding of the financial information submitted to them. Most of this information is (directly or indirectly) taken from the financial statements produced by banks and insurance companies. In the EU and in many other countries around the world, these financial statements are drawn up using International Financial Reporting Standards (IFRS) set by the IASB. However, many financial regulators do not come from an accounting background and have only an imperfect understanding of the principles behind IFRS and of the judgments that are made when the reporting standards are applied in practice. This limits their ability to make full use of the information contained in bank and insurance company financial statements, so making them less effective regulators. More about the workshop: https://tinyurl.com/ybhn9e7m More about REPARIS Program: https://tinyurl.com/p5pavhp Visit us at http://worldbank.org/cfrr
Views: 16 WorldBank CFRR
Securities Act of 1933
 
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United States Congress enacted the Securities Act of 1933 (the 1933 Act, the Securities Act, the Truth in Securities Act, the Federal Securities Act, or the '33 Act, Title I of Pub. L. 73-22, 48 Stat. 74, enacted May 27, 1933, codified at 15 U.S.C. § 77a et seq.), in the aftermath of the stock market crash of 1929 and during the ensuing Great Depression. Legislated pursuant to the interstate commerce clause of the Constitution, it requires that any offer or sale of securities using the means and instrumentalities of interstate commerce be registered with the SEC pursuant to the 1933 Act, unless an exemption from registration exists under the law. "Means and instrumentalities of interstate commerce" is extremely broad, and it is virtually impossible to avoid the operation of this statute by attempting to offer or sell a security without using an "instrumentality" of interstate commerce. Any use of a telephone, for example, or the mails, would probably be enough to subject the transaction to the statute. The 1933 Act was the first major federal legislation to regulate the offer and sale of securities. Prior to the Act, regulation of securities was chiefly governed by state laws, commonly referred to as blue sky laws. When Congress enacted the 1933 Act, it left existing state securities laws ("blue sky laws") in place. The '33 Act is based upon a philosophy of disclosure, meaning that the goal of the law is to require issuers to fully disclose all material information that a reasonable shareholder would require in order to make up his or her mind about the potential investment. This is very different from the philosophy of the blue sky laws, which generally impose so-called "merit reviews." Blue sky laws often impose very specific, qualitative requirements on offerings, and if a company does not meet the requirements in that state then it simply will not be allowed to do a registered offering there, no matter how fully its faults are disclosed in the prospectus. Recently, however, NSMIA added a new Section 18 to the '33 Act which preempts blue sky law merit review of certain kinds of offerings. This video is targeted to blind users. Attribution: Article text available under CC-BY-SA Creative Commons image source in video
Views: 10716 Audiopedia
Digital Securities Post Regulation #digitalsecuritiespostregulation
 
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Jamie Finn, CoFounder Securitize Jamie is an well traveled executive who has worked in 6 countries with startups & corporates. He is a currently the co-founder and President of Securitize, the leading platform for Security Token Issuances. During his more than 18 years of experience he has participated in over $500m worth of transactions including Kontera, Sansa Security, Jajah, Tokbox, RingRing Media and Zingy and has seen his share of meeting rooms across the globe. His previous employers include Ericsson, Telefònica o2 and AT&T and he has worked at numerous startups including Zingy, RingRing Media, Thumbplay, Kontera and Sansa Security and Aki Technologies. He has been in San Francisco for the past 5 years after spending 6 years in London and becoming a Chelsea supporter. Jamie grew up in Puerto Rico and is a native English and Spanish speaker. Josh Stein, CEO, Harbor As founding CEO, Stein is leading Harbor's efforts to tokenize private securities and unlock access, value and liquidity for private investments such as commercial real estate, investment funds and more. He was previously general counsel and chief compliance officer at Zenefits, served as general counsel at OptumRx (a subsidiary of UnitedHealth Group), was an Assistant U.S. Attorney, a federal judicial clerk and an Intelligence Officer for the U.S. Army. Mason Borda, CEO TokenSoft Mason is a technology entrepreneur who has spent his career building secure infrastructure to enable the compliant transfer of digital assets. In 2016, he built the first commercially viable custody solution on the Ethereum network. He started working on blockchain infrastructure in Silicon Valley in 2014. Today, he is CEO of TokenSoft, the leading technology and security platform for companies seeking to use digital assets as a growth strategy. TokenSoft proudly adheres to the highest standards for regulation and compliance, across jurisdictions. Under Mason’s leadership, the firm has supported its clients who have raised more than $400 million in assets, with expectations for more than $1 billion in 2019. Colleen McDonald Structured Finance Partner Sheppard Mullin Colleen is a seasoned securitization and structured finance attorney with significant market know-how in terms of both working capital financing and capital markets transactions. Colleen works with banks, marketplace lenders and alternative capital providers, fintech companies, sellers and investors to structure debt transactions. Colleen, and her colleagues in Sheppard Mullin’s Financial Services Group, help clients navigate the U.S. regulatory structure particularly as it relates to lending products. Moderator: John Boitnott, Journalist/Digital Consultant. John has worked at TV, newspapers, radio and Internet companies for 20 years. He's an advisor at StartupGrind.com and has written for Fast Company, NBC, Inc Magazine, Entrepreneur, BusinessInsider, USAToday and Venturebeat among others.Moderator: John Boitnott, Journalist/Digital Consultant. John has worked at TV, newspapers, radio and Internet companies for 20 years. He's an advisor at StartupGrind.com and has written for Fast Company, NBC, Inc Magazine, Entrepreneur, BusinessInsider, USAToday and Venturebeat among others. For further info check out https://www.fintechsv.com
How To Know about The Securities and Exchange Board of India (SEBI) in TAMIL
 
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The Securities and Exchange Board of India (SEBI) is the regulator for the securities market in India. It was established in the year 1988 and given statutory powers on 30 January 1992 through the SEBI Act, 1992. SEBI has to be responsive to 3 groups which constitute the market: The issuer of securities The investor The market intermediaries With the growth in the dealings of stock markets, lot of malpractices also started in stock markets such as price rigging, ‘unofficial premium on new issue, and delay in delivery of shares, violation of rules and regulations of stock exchange and listing requirements. Due to these malpractices the customers started losing confidence and faith in the stock exchange. So government of India decided to set up an agency or regulatory body known as Securities Exchange Board of India (SEBI). It was officially established by The Government of India in the year 1988 and given statutory powers in 1992 with SEBI Act 1992 being passed by the Indian Parliament. SEBI has its Headquarters at the business district of Bandra Kurla Complex in Mumbai, and has Northern, Eastern, Southern and Western Regional Offices in New Delhi, Kolkata, Chennai and Ahmedabad respectively. Controller of Capital Issues was the regulatory authority before SEBI came into existence; it derived authority from the Capital Issues (Control) Act, 1947. Initially SEBI was a non statutory body without any statutory power. However in the year of 1995, the SEBI was given additional statutory power by the Government of India through an amendment to the Securities and Exchange Board of India Act, 1992. In April, 1988 the SEBI was constituted as the regulator of capital markets in India under a resolution of the Government of India. The SEBI is managed by its members, which consists of following: a) The chairman who is nominated by Union Government of India. b) Two members, i.e. Officers from Union Finance Ministry.c) One member from The Reserve Bank of India.d) The remaining 5 members are nominated by Union Government of India, out of them at least 3 shall be whole-time members. The office of SEBI is situated at SEBI Bhavan, Bandra Kurla Complex, Bandra East, Mumbai- 400051, with its regional offices at Kolkata, Delhi, Chennai & Ahmadabad. For further to register as member : http://app.aliceblueonline.com/OpenAccount.aspx?c=CTA Twitter : https://twitter.com/chennaittradin1 Facebook : https://www.facebook.com/chennaitradingacademy/ LinkedIn : https://www.linkedin.com/in/chennai-trading-academy-cta-b0571b165/
Restricted Securities and Rule 144
 
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http://thebusinessprofessor.com/restricted-securities-and-rule-144/ Restricted Securities and Rule 144
Draft Published for Public Review
 
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🔎 Sources Philippines’ ICO Regulations: 📝 https://www.coindesk.com/philippines-proposed-ico-rules-presume-all-tokens-are-securities/ 📝 https://cointelegraph.com/news/philippines-securities-regulator-issues-draft-of-ico-rules-requests-feedback-from-public ●▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬● 💬 Need help or have any questions? Feel free to leave them down in the comments below! ❤️ Stay ahead of the curve & SUBSCRIBE http://www.cryptogrinders.com/subscribe Hit the "🔔" icon, after subscribing, to get notifications as soon as we upload a new video or start a live stream ●▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬● 🔥 Telegram CG ⏱ Market Watch: https://t.me/cgmarketwatch CG Open Community: https://t.me/cryptogrinders ●▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬● 📣 Social & Website Facebook: https://fb.com/cryptogrindersofficial Facebook Group: https://www.fb.com/groups/cryptogrinders Twitter: https://twitter.com/CryptoGrinders Instagram: https://www.instagram.com/cryptogrinders Medium: https://medium.com/@cryptogrinders Website: http://www.cryptogrinders.com ●▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬● 💱 Recommended Exchanges Huobi http://www.cryptogrinders.com/huobi Bitmex (10% rebate) http://cryptogrinders.com/bitmex Coinbase http://www.cryptogrinders.com/coinbase Binance http://www.cryptogrinders.com/binance ●▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬● For consulting or other business inquiries, please feel free to reach us at [email protected] ●▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬● 💬 Disclaimer The information discussed on CryptoGrinders Website, YouTube and other social media channels including but not limited to Twitter, Instagram, facebook, is not financial advice. This information is for educational, informational and entertainment purposes only. Any information and advice on investments are thoughts and our opinions only. We are not responsible for any investments you make. Cryptocurrencies such as Ripple XRP, Bitcoin BTC, Litecoin & Ethereum are high risk investments, so please do your own research and advice from a professional license financial advisor before acting on any information in our videos. ●▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬● #Bitcoin #Ethereum #Cryptocurrency #Crypto #Altcoins #DigitalAssets
Views: 204 CryptoGrinders
Does Canada need a national securities regulator?
 
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The Direct Engagement Show held live at the Toronto Stock Exchange discussed and took questions on the federal government's move towards creating a national securities regulator. The Hon. Jim Flaherty, Minister of Finance and other panelists discussed the need and how it could be accomplished.
Views: 584 DirectEngagement
Ep. #544- SEC Rules Tokens Could Be Securities / Russian Airline Using Ether / ETH & ZEC Atms
 
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►🚀10% Off Your Early-Bird Anarchapulco Conference Tickets Before They Sell Out: Enter Promo Code "crypt0" https://anarchapulco.com/?ref=crypt0 ►🚀Discussing Ethereum Inflation Rate Proposal: https://youtu.be/CI13gU5GmAg 🚩Join The Crypt0's News Group: https://www.facebook.com/groups/crypt0snews 👍 Thank You Very Much For Watching! 😃 Please Remember To Like & Subscribe! ►🚀Become A Patron or Sponsor: https://www.patreon.com/crypt0snews ►🌐Find Us on Steemit (Decentralized Social Media Blockchain): https://goo.gl/K3pQD4 ►🕹Crypt0's Live Streaming Channel: https://goo.gl/xRgnzs 👕👚Grab Some Ethereum Shirts: ►Deep Space Diamond Tee Shirt http://amzn.to/2tUfwkn ►Prism Rainbow Light T Shirt http://amzn.to/2t19DoD ►💎Donate Ether and Ethereum-Based (ERC-20) Tokens 0x3124Dcd240b330945896b0cdfa8dD20ed400704c ►💎Donate Bitcoin 17nFpuYFBxjtGbXgoMbyFGFHemkC5ayz6D ►💎Donate Using Paypal https://goo.gl/7m1X4Z ►Purchase The Audio-Only Version Of This Video: https://goo.gl/TsXTuL 📔___RECOMMENDED READING ►Ethereum: Blockchains, Digital Assets, Smart Contracts, DAOs http://amzn.to/2t015ik ►The Singularity Is Near: When Humans Transcend Biology http://amzn.to/2rHXGjQ ►Physics of the Future: How Science Will Shape Human Destiny and Our Daily Lives by the Year 2100 http://amzn.to/2tUaEfa ►The Creature From Jekyll Island http://amzn.to/2sWZLfa ►Think and Grow Rich - Napoleon Hill: http://amzn.to/2t1nHOT ►📺Introduction to Cryptocurrency Playlist: https://goo.gl/YZTwvc ►🔗Learn More About Blockchain (Deutche, Please Translate): https://goo.gl/492XVJ 🔑__A MUST HAVE__ ►Ledger Nano S (Bitcoin+Ethereum+More Hardware Wallet): https://goo.gl/wZUVES ►Hardware Wallet Superstore (5$ Off) https://goo.gl/ftZL3w ►✏️Easily Create Your Own Website (10% Off Weebly): https://goo.gl/ZqJvue ►✅Exchange Cryptocurrency At The Best Rate: https://goo.gl/q5FNoJ 💻FOLLOW US HERE: ►Instagram: https://goo.gl/vDRvgK ►Twitter: https://goo.gl/bR9gA8 ►Snapchat: minamarie0012 ►Crypt0's News Official Site: https://goo.gl/mnWvPL -~-~~-~~~-~~-~- Please watch: "Cryptocurrency- An Introduction: Featuring Elle & Crypt0! (Basics, Tips, Resources, & Much More!)" https://www.youtube.com/watch?v=h9B52U6tsvo -~-~~-~~~-~~-~-
Views: 7082 Crypt0
Introduction to The Securities And Exchange Commission of Pakistan (SECP)
 
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This video production is presented by London View Chambers, a set of Barristers' Chambers that is headquartered in London. The Barristers at London View Chambers specialise, amongst other areas of law, in financial regulation and compliance in European, North American and Asian continents. The Securities and Exchange Commission of Pakistan is the regulator of corporate sector, capital markets, insurance sector and Non-bank Finance Corporations (NBFCs) in Pakistan. SECP is a large organisation with an array of departments and has an army of staff. It is getting even bigger, more efficient and more organised. This video explains SECP's structure, the hierarchy of its officers, the working of various departments and their inter-relationship. A production of LONDON ART & MEDIA
Views: 4059 London View Chambers
Hack Of U.S. Securities Regulator Rattles Investors
 
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Wall Street’s top regulator faced questions on Thursday about its defenses against cyber criminals after admitting hackers breached its electronic database of corporate announcements and may have used it for insider trading. The incursion at the Securities and Exchange Commission struck at the heart of the U.S. financial system. The SEC’s EDGAR filing system is the central repository for market-moving information on corporate America with millions of filings ranging from quarterly earnings to statements on acquisitions. http://feeds.reuters.com/~r/reuters/topNews/~3/8WdvGyKfjqg/hack-of-u-s-securities-regulator-rattles-investors-stirs-doubts-idUSKCN1BW25J http://www.wochit.com This video was produced by YT Wochit News using http://wochit.com
Views: 25 Wochit News
Ex-Everbright Securities executive loses suit against China’s top regulator
 
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A former Everbright Securities executive has lost a lawsuit against the country’s securities regulator. Yang Jianbo, a former general manager of the high-frequency trading unit at Everbright Securities, sued the China Securities Regulatory Commission,objecting to a lifetime ban from the industry and a 600,000 yuan fine for last year’s Everbright trading error, which caused a huge accidental spike in the Shanghai equity benchmark. Subscribe us on Youtube: https://www.youtube.com/user/CCTVNEWSbeijing Download for IOS: https://itunes.apple.com/us/app/cctvnews-app/id922456579?l=zh&ls=1&mt=8 Download for Android: https://play.google.com/store/apps/details?id=com.imib.cctv Follow us on: Facebook: https://www.facebook.com/cctvnewschina Twitter: https://twitter.com/CCTVNEWS Google+: https://plus.google.com/+CCTVNEWSbeijing Tumblr: http://cctvnews.tumblr.com/ Weibo: http://weibo.com/cctvnewsbeijing
Views: 98 CGTN
Rule 504 Securities Exemption
 
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http://thebusinessprofessor.com/rule-504-securities-exemption/ Rule 504 Securities Exemption
Court conducts hearing over TRO on new securities code IRR
 
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The Mandaluyong Regional Trial Court (RTC) is expected to rule if the temporary restraining order (TRO) on certain controversial provisions of the Securities Regulation Code’s implementing rules and regulations (IRR) will be made permanent. Subscribe to the ABS-CBN News channel! - http://bit.ly/TheABSCBNNews Visit our website at http://news.abs-cbn.com Facebook: https://www.facebook.com/abscbnNEWS Twitter: https://twitter.com/abscbnnews
Views: 603 ABS-CBN News
2010 FRC Economics and Securities Regulation, Chester Spatt
 
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Chester Spatt is the Pamela R. and Kenneth B. Dunn Professor of Finance at Carnegie Mellon University. He was Chief Economist of the SEC from 2004-2007.
Views: 233 notredamebusiness

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