Dec. 3 Webcast: What Should Crypto Funds Expect From The SEC Going Forward?

Dec. 3 Webcast: What Should Crypto Funds Expect From The SEC Going Forward?

By Securities Docket on November 13, 2018, 9:28 pm

Please join Boris Richard, Jeff Bandman, Ivana Rouse and Peter Altman for this free webcast.

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Oct. 17 Webcast: Corporate Board Oversight of Cybersecurity — A Blueprint for Success

Oct. 17 Webcast: Corporate Board Oversight of Cybersecurity — A Blueprint for Success

By Securities Docket on September 26, 2018, 11:40 am

Please join John Reed Stark and David Fontaine for this free webcast.

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June 28 Webcast: The Bribery Act, Chapter 7 — The Americanisation of UK Corporate Crime

June 28 Webcast: The Bribery Act, Chapter 7 — The Americanisation of UK Corporate Crime

By Securities Docket on June 19, 2018, 1:53 pm

Please join Vivian Robinson QC, Barry Vitou, Richard Kovalevsky QC and Julian Glass for this free webcast.

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June 29 Webcast: Financial Statements 101 — Emerging Trends and Accounting Principles for Lawyers

June 29 Webcast: Financial Statements 101 — Emerging Trends and Accounting Principles for Lawyers

By Securities Docket on June 7, 2018, 7:44 am

Please join Jeff Litvak and Jason Tolmaire for this free webcast.

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Highlights from Securities Enforcement Forum 2017

Highlights from Securities Enforcement Forum 2017

By Securities Docket on November 16, 2017, 6:26 pm

Photos and highlights from Securities Enforcement Forum 2017.

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Securities Docket Announces ‘Enforcement 40′ for 2017

Securities Docket Announces ‘Enforcement 40′ for 2017

By Securities Docket on October 30, 2017, 7:46 am

Securities Docket announces its “Enforcement 40”— our list of the 40 best and brightest securities enforcement defense lawyers.

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SEC Asset Management Unit Co-Chief Lands at Dechert | The American Lawyer

By Securities Docket on November 13, 2018, 10:20 am

The former co-chief of the U.S. Securities and Exchange Commission’s asset management unit is moving to private practice for the first time in his career, joining Dechert in Washington, D.C., after 18 years with the regulator. Anthony Kelly joined the SEC as a securities compliance examiner in 2000 and stayed with the agency on completing […]

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Commissioner Peirce: the meaningless of enforcement numbers and penalty amounts | Compliance Week

By Securities Docket on November 12, 2018, 8:40 am

The Securities and Exchange Commission’s Enforcement Division on Nov. 2 issued its annual report, highlighting the Division’s activities in fiscal year 2018 from both a qualitative and quantitative perspective. But focusing on enforcement numbers and penalty amounts alone is meaningless, SEC Commissioner Hester Peirce said in recent remarks. “The current Commission is not humming happily […]

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SEC Cyber Chief Puts A New Type Of Cryptocurrency Exchange On Notice

By Securities Docket on November 12, 2018, 8:09 am

Cryptocurrency exchanges, be warned. There’s no out-innovating the regulatory reach of the U.S. Securities and Exchange Commission. Clarifying an announcement yesterday that the SEC is in the middle of its first ever case against a cryptocurrency exchange running on the ethereum blockchain, the chief of the SEC’s newly created cyber unit, Robert Cohen, exclusively told […]

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SEC Charges EtherDelta Founder With Operating an Unregistered Exchange

By Securities Docket on November 8, 2018, 11:31 am

The Securities and Exchange Commission today announced settled charges against Zachary Coburn, the founder of EtherDelta, a digital “token” trading platform. This is the SEC’s first enforcement action based on findings that such a platform operated as an unregistered national securities exchange. via SEC.gov | SEC Charges EtherDelta Founder With Operating an Unregistered Exchange.

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Anthony S. Kelly, Co-Chief of Asset Management Unit, to Leave SEC After 18 Years of Service

By Securities Docket on November 6, 2018, 10:06 am

The Securities and Exchange Commission today announced that Anthony S. Kelly, Co-Chief of the Enforcement Division’s Asset Management Unit, will be leaving the agency this month after more than 18 years of service. via SEC.gov | Anthony S. Kelly, Co-Chief of Asset Management Unit, to Leave SEC After 18 Years of Service.

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U.S. SEC collects nearly $4 billion in fines, disgorgement in fiscal 2018 | Reuters

By Securities Docket on November 3, 2018, 11:26 am

The Securities and Exchange Commission assessed $3.945 billion in disgorgement and penalties across 821 enforcement actions in fiscal 2018, the agency’s enforcement division said in its annual report on Friday. The total was a slight uptick in activity for the SEC, which reported just 754 actions in fiscal 2017 totaling $3.7 billion in disgorgement and […]

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SEC Foreign Bribery Chief Says ‘Additional Industries’ Are Drawing Enforcement Attention | National Law Journal

By Securities Docket on November 3, 2018, 11:23 am

Charles Cain, the head of the commission’s FCPA unit, said that while oil and gas and pharmaceutical industries, among others, “are always going to be repeat players because of the nature of their businesses … you are seeing some additional industries come to the front as far as getting enforcement action.” “A couple years back, […]

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‘Gun-Shy’: How Federal Prosecutors Forgot Silicon Valley — The Information

By Securities Docket on October 30, 2018, 5:49 pm

The two offices are vastly different both in culture and their approach to white-collar crime. New York prosecutors often deploy techniques associated with organized crime investigations, including wiretapping, executing search warrants and flipping suspects to testify against bigger targets. Prosecutors in San Francisco, meanwhile, typically will issue a grand jury subpoena and request emails from […]

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New Director, New Direction? Initial insight into the next era at the Serious Fraud Office | Allen & Overy LLP – JDSupra

By Securities Docket on October 28, 2018, 12:28 pm

The question on everyone’s mind since the announcement of the Director of the SFO on 4 June 2018 has been: how (if at all) will the new Director change the SFO’s strategic direction and enforcement priorities? We have had the first insight into that topic with the speech delivered in September by Lisa Osofsky in […]

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Tesla Faces Deepening Criminal Probe Over Whether It Misstated Production Figures – WSJ

By Securities Docket on October 27, 2018, 6:24 pm

Tesla Inc., with a fresh civil fraud settlement now behind it, faces a new legal problem: a deepening criminal investigation. Federal Bureau of Investigation agents are examining whether Tesla misstated information about production of its Model 3 sedans and misled investors about the company’s business going back to early 2017, people familiar with the matter […]

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