Oct. 4 Webcast: Maybe Unicorns Aren’t So Special– Galloping Through Regulatory Terrain Common to Public Companies

Oct. 4 Webcast: Maybe Unicorns Aren’t So Special– Galloping Through Regulatory Terrain Common to Public Companies

By Securities Docket on August 24, 2017, 12:28 pm

Please join Lori Echavarria, Michael Mugmon and Ed Westerman for this free webcast.

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Sept. 19 Webcast: Seeing the Entire Playing Field — Navigating Concurrent Matters in Multiple Jurisdictions

Sept. 19 Webcast: Seeing the Entire Playing Field — Navigating Concurrent Matters in Multiple Jurisdictions

By Securities Docket on August 16, 2017, 10:25 am

Please join Michele E. Rose, Robert P. Howard, Jr., Jim Barratt and Amy Gonce for this free webcast.

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Seeking Nominations for Securities Docket’s ‘Enforcement 40′

Seeking Nominations for Securities Docket’s ‘Enforcement 40′

By Securities Docket on August 9, 2017, 5:16 pm

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

Highlights from Securities Enforcement Forum West 2017

By Securities Docket on June 5, 2017, 1:48 pm

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

Guest Post: SEC Enforcement — 2016 in Review and Looking Ahead to 2017

By Securities Docket on February 24, 2017, 5:57 pm

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

Highlights from Securities Enforcement Forum 2016

By Securities Docket on October 20, 2016, 9:37 pm

Photos and highlights from Securities Enforcement Forum 2016.

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Highlights from Securities Enforcement Forum West 2016

Highlights from Securities Enforcement Forum West 2016

By Securities Docket on May 30, 2016, 7:38 pm

Photos and highlights from Securities Enforcement Forum West 2016.

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SEC chairman asks for probe of 2016 cyberattack

By Securities Docket on September 26, 2017, 7:43 am

The head of the Securities and Exchange Commission has asked the agency’s inspector general to investigate a 2016 cyberattack that infiltrated its electronic corporate filings system last year, according to prepared congressional testimony seen by CNNMoney on Monday. Jay Clayton said he was “deeply concerned” to learn last month that the SEC’s electronic system, known […]

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SEC staff forced to tell chairman about hack when stolen data used by inside trader – MarketWatch

By Securities Docket on September 26, 2017, 7:41 am

Securities and Exchange Commission lawyers reluctantly realized while investigating an insider-trading case in August that it was time to tell new chairman Jay Clayton about a major breach of the agency’s systems that happened in 2016. Why now? Because despite immediately patching the hole that hackers went through, their case was based on the non-public […]

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SEC chair to face grilling from Senate panel over cyber breach — Reuters

By Securities Docket on September 26, 2017, 7:39 am

The chairman of the U.S. Securities and Exchange Commission is expected to be grilled by Congress on Tuesday over a 2016 hack of the regulator’s corporate filing system that has shaken investor confidence in its cyber defenses. The hearing by the Senate Banking Committee, which had been scheduled prior to the disclosure of the breach […]

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SEC Announces Enforcement Initiatives to Combat Cyber-Based Threats and Protect Retail Investors

By Securities Docket on September 26, 2017, 7:09 am

Over the past several years, the Enforcement Division has developed substantial expertise in the detection and pursuit of fraudulent conduct in an increasingly technological and data-driven landscape.  The Cyber Unit will consolidate and advance these efforts, and include staff from across the Enforcement Division. Robert A. Cohen has been appointed Chief of the Cyber Unit.  […]

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SEC Enforcement Probe Led to Renewed Look at 2016 Hack – WSJ

By Securities Docket on September 25, 2017, 4:41 pm

The Securities and Exchange Commission looked anew at a 2016 hack of its electronic corporate filing system as part of an enforcement investigation, its chairman said in testimony prepared for a Senate hearing on Tuesday. SEC Chairman Jay Clayton’s testimony said the commission began reviewing the hack of the Edgar filing system in August due […]

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Former legal assistant at prominent Bay Street law firm at centre of insider tripping and trading case | Financial Post

By Securities Docket on September 25, 2017, 7:58 am

A former legal assistant at prominent Bay Street law firm Davies Ward Phillips & Vineberg LLP has been caught up in accusations of insider tipping and trading. The Ontario Securities Commission accused Donna Hutchinson, on Friday, of passing on “material, non-public information” she learned about pending corporate transactions as a result of her employment at […]

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Steve Cohen hedge fund said to send pitch documents to investors – Business Insider

By Securities Docket on September 25, 2017, 7:55 am

Steve Cohen, the billionaire hedge-fund manager briefly banned from the industry after an insider-trading investigation, this week sent investors documents pitching his new fund, Stamford Harbor Capital, a person who has reviewed the deck told Business Insider. via Steve Cohen hedge fund said to send pitch documents to investors – Business Insider

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Investor group seeks probe into SEC hack, urges data rules delay | Reuters

By Securities Docket on September 25, 2017, 7:54 am

The Investment Company Institute (ICI), which represents over 95 million U.S. shareholders, wants the SEC to clear up concerns about its cyber defenses before requiring funds to submit monthly performance data to the regulator, Paul Schott Stevens, the group’s chief executive, told Reuters in a phone interview. “What the SEC breach now makes very clear […]

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Trial begins for trio of former Tesco executives accused of fraud by the Serious Fraud Office (SFO) | City A.M.

By Securities Docket on September 25, 2017, 7:50 am

Three former Tesco executives accused of fraud and false accounting are due to finally stand trial at Southwark Crown Court tomorrow, in one of the most high-profile cases ever brought by the Serious Fraud Office (SFO). Carl Rogberg, Christopher Bush and John Scouler have each been charged with one count of false accounting and one […]

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Sept. 26 Webcast: What Every C-Suite Executive Needs to Know Right Now About the Equifax Data Breach

By Securities Docket on September 22, 2017, 9:45 am

The recent Equifax data breach is perhaps the largest in history and has barraged the company and its senior executives with a complex and challenging range of legal, financial and technological issues — issues that every corporation and its outside counsel will inevitably (and unfortunately) encounter. In this timely webcast, John Reed Stark, seasoned data […]

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