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Nov. 9 Webcast: The Growing Impact of Corporate Investigations — Recent Trends in SEC and DOJ Enforcement Actions
Please join Rex Homme and Catherine Moreno for this free webcast.
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Takeaways, Reminders & Caveats From the Equifax and SEC Data Breaches | LinkedIn
“The impact of these two recent data breaches will be unprecedented.”
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Oct. 4 Webcast: Maybe Unicorns Aren’t So Special– Galloping Through Regulatory Terrain Common to Public Companies
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Sept. 19 Webcast: Seeing the Entire Playing Field — Navigating Concurrent Matters in Multiple Jurisdictions
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Seeking Nominations for Securities Docket’s ‘Enforcement 40′
Securities Docket welcomes your nominations for our updated ‘Enforcement 40′ — the 40 best and brightest securities enforcement defense professionals in the industry.
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Highlights from Securities Enforcement Forum West 2017
Photos and highlights from Securities Enforcement Forum West 2017.
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Guest Post: SEC Enforcement — 2016 in Review and Looking Ahead to 2017
The questions facing the SEC are the same ones that it has faced many times before, but which events have now rendered acute.
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Highlights from Securities Enforcement Forum 2016
Photos and highlights from Securities Enforcement Forum 2016.
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Highlights from Securities Enforcement Forum West 2016
Photos and highlights from Securities Enforcement Forum West 2016.
Full Story »Criminal
- In Unusual Sentence, Ex-Dewey & LeBoeuf CFO Avoids Jail Time | The American Lawyer
- FCPA Inc. Desperately Needs Some Basic Standards – FCPA Professor
- Financial firm heads accused in Chicago of insider trading | AP
- Justice Department Tells Buchanan Bernie Madoff Victims About to be Compensated | Congressman Vern Buchanan
- Hack Will Lead to Little, if Any, Punishment for Equifax – The New York Times
Global
- Italian prosecutor charges Shell and former execs with overseas bribery – The FCPA Blog
- Former legal assistant at prominent Bay Street law firm at centre of insider tripping and trading case | Financial Post
- Trial begins for trio of former Tesco executives accused of fraud by the Serious Fraud Office (SFO) | City A.M.
- Telia disgorges $457 million to SEC, agrees to $965 million in total penalties for FCPA offenses – The FCPA Blog – The FCPA Blog
- Bill Waite on the SFO: Five More Years! – The FCPA Blog
People
- Former Top Prosecutor Joins Private Practice – Risk & Compliance Journal. – WSJ
- Catherine McGuire to Retire After More Than 40 Years at the SEC
- Former SEC Enforcement Chief and Deutsche Bank General Counsel Richard H. Walker Joins King & Spalding in New York – King & Spalding
- DOJ Fraud Section Assistant Chief Laura Perkins Joins Hughes Hubbard
- Bridget Fitzpatrick Named Chief Litigation Counsel — SEC Press Release
SEC
- Should hedge funds be concerned about the risk of insider trading on alternative data?
- Walter Jospin, Regional Director of the SEC’s Atlanta Office, to Leave the Agency
- SEC Suffers Loss in Tilton Matter: Is the Commission Losing its Home Court Advantage? | BakerHostetler
- Jay Clayton tells lawmakers SEC is drafting its own fiduciary duty rule – Pensions & Investments
- Exclusive: SEC forensics unit sought resources, cyber training ahead of 2016 hack — Reuters