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1. Commerce Bancorp fait l'objet d'une enquête de la SEC
   Le gendarme de la Bourse américaine s'intéresse à diverses transactions mettant en cause des cadres et des dirigeants de la banque du New Jersey.
   26-10-2007      commerce bancorp, réglementaire, sec
2. SEC Obtains $10.5 Million Judgment against HSBC Bank in Settled Civil Action
   The Securities and Exchange Commission ("Commission") announced today that on September 25, 2007, the District Court for the Southern District of Florida entered a Final Judgment in its settled civil action against HSBC Bank USA, N.A. ("HSBC"), imposing a
   13-10-2007      banque, hsbc, sec
3. SEC suspends trading of firms susceptible to stock spam
   The U.S. Securities and Exchange Commission has suspended trading of the stocks of three companies that haven't provided adequate information about themselves to the public, leaving them susceptible to spam-based stock scams, the agency said. The SEC toda
   05-10-2007      banque, sec, spam
4. Agencies Adopt Final Rules to Implement the Bank 'Broker' Provisions of the Gramm-Leach-Bliley Act
   The Securities and Exchange Commission (SEC) and Board of Governors of the Federal Reserve System (Board) on Monday announced the adoption of final joint rules to implement the "broker" exceptions for banks under Section 3(a)(4) of the Securities Exchange
   25-09-2007      réglementaire, sec
5. SEC releases source code of its XBRL viewer
   The Securities and Exchange Commission has posted the source code of its Financial Report Viewer on its website for free use, part of its ongoing campaign to promote the use of XBRL in financial reports.
   24-09-2007      it, reporting, sec, xbrl
6. HSBC Bank Settles SEC Charges and Agrees to Pay $10.5 Million
   The Securities and Exchange Commission today announced settled enforcement proceedings against HSBC Bank USA, N.A., which will pay a $10 million civil penalty and approximately $500,000 in disgorgement for allowing its name and logo to be used in connecti
   20-09-2007      banque, hsbc, sec
7. SEC Votes for Final Rules Defining How Banks Can Be Securities Brokers; 2007-190; Sept. 19, 2007
   Ending eight years of stalled negotiations and impasse, the Commission today voted to adopt, jointly with the Board of Governors of the Federal Reserve System (Board), new rules that will finally implement the bank broker provisions of the Gramm-Leach-Bli
   20-09-2007      réglementaire, sec
8. Guidance Regarding Management’s Report on Internal Control Over Financial Reporting
   The SEC is publishing this interpretive release to provide guidance for management regarding its evaluation and assessment of internal control over financial reporting. The guidance sets forth an approach by which management can conduct a top-down, risk-b
   05-08-2007      audit, gestion des risques, reporting, sec
9. SEC Approves PCAOB Auditing Standard No. 5 Regarding Audits of Internal Control Over Financial Reporting
   Washington, D.C., July 25, 2007 - The Securities and Exchange Commission today voted unanimously in favor of a new auditing standard and other measures to increase the accuracy of financial reports while reducing unnecessary costs, especially for smaller
   05-08-2007      audit, gestion des risques, pcaob, sec
10. PCAOB’s New Audit Standard for Internal Control Over Financial Reporting is Approved by the SEC
    Washington, DC, July 25, 2007 – The PCAOB’s Auditing Standard No. 5, An Audit of Internal Control Over Financial Reporting That Is Integrated with An Audit of Financial Statements, was approved today by the Securities and Exchange Commission. It replaces
    01-08-2007      audit, gestion des risques, pcaob, sec

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