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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Kurt Gottschall Named Director of Denver Office

By Securities Docket on November 20, 2018, 8:21 am

The Securities and Exchange Commission today announced that Kurt L. Gottschall has been named Director of the Denver Regional Office. Mr. Gottschall began working in the Division of Enforcement in the Denver office in 2000 as a staff attorney before becoming a Branch Chief in 2003 and an Assistant Regional Director in 2010.  From 2012 […]

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Four Partners Join King & Spalding with Regulatory Expertise from FINRA – King & Spalding

By Securities Docket on November 20, 2018, 8:20 am

King & Spalding today announced that Mirella deRose, Russell Johnston, Richard Margolies and Michael Watling joined as partners in the Government Matters practice and the Securities Enforcement and Regulation team in the New York office. All four partners served as senior attorneys with the Financial Industry Regulatory Authority (FINRA) Department of Enforcement. Johnston, Margolies and […]

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First, Wildfires. Then What? Securities Litigation, Of Course | The D&O Diary

By Securities Docket on November 19, 2018, 9:06 am

The recent massive wildfires in California have caused the loss of dozens of lives, and many more people are missing. Thousands have been displaced and many millions more have been affected. The property damage has been devastating. The Camp Fire in Northern California alone has destroyed tens of thousands of 10,000 homes and businesses. Even […]

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Hester Peirce: All women do not speak with the same voice, and SEC commissioners are no different

By Securities Docket on November 19, 2018, 9:02 am

Fifty years ago, then-Securities and Exchange Commission chairman Manny Cohen, speaking to the Women’s Bond Club of New York, predicted: “Perhaps if we take steps to make clear that women really have an important role to play in the world of finance, [you] will, one day, be gathered here to listen to an address by […]

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Speech: ‘Costumes, Candy, and Compliance: Remarks at the National Membership Conference of the National Society of Compliance Professionals

By Securities Docket on November 16, 2018, 1:24 pm

Some people believe that a formal enforcement action is the obvious response to every compliance infraction. In my view, a better approach is to build certain norms into the industry that foster compliance. Hitting someone over the head with a criminal conviction is a sure way to scare all trick-or-treaters, even those not breaking the […]

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As Lucia Fades Away, the SEC Struggles to Deal with Kokesh | Bloomberg Law

By Securities Docket on November 16, 2018, 1:22 pm

Given his frequent comments on market structure issues, the top of his wish list for the SEC might seem surprising. According to Commissioner Jackson, if he could have one wish, he would like to see a legislative fix to reverse the U.S. Supreme Court’s decision in Kokesh v. SEC. In Kokesh, the Supreme Court rejected […]

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Will ‘First-of-Its-Kind’ Ripple Suit Set the Tone for US Cryptocurrency Law? | Legaltech News

By Securities Docket on November 15, 2018, 10:29 am

In a highly-watched litigation on the cryptocurrency scene, Ripple Labs’ lawyers moved to kick a consolidated suit against the digital token outfit up from California superior to federal court. Why such a move, and what impact could the litigation have on the cryptocurrency market? To get a read, The Recorder’s Ian Lopez reached out to […]

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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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