Jan. 27 Webcast Materials
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Archived Version and Materials for Jan. 26 Webcast: Insider Trading Compliance for Hedge Funds and Other Regulated Entities
Adam Wasserman and John Stark joined us for this webcast.
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Securities Docket News Wire for Jan. 27, 2012
Get caught up with the Securities Docket News Wire for Jan. 27, 2012.
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Web Watch: Best of the Week Ending January 20
The week’s most interesting columns and blog posts from around the web.
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Congress Doesnt Want to Give Up Its Insider Trading Privileges
STOCK Act continues to meet with resistance.
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British Regulator Fines Einhorn in Insider Trading Case
FSA fines David Einhorn and Greenlight Capital $11 million in insider trading matter.
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SOTU: President Obama Calls For a Law Banning Insider Trading by Members of Congress
Pres. Obama promises to sign legislation that bans insider trading by members of Congress.
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Carlyle Curbing Shareholder Rights Irritates Lawmakers Who See Precedent
SEC must decide whether to allow Carlyle’s IPO proceed.
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NYC trader who wore wire in probe gets probation
David Slaine spared prison time after prosecutors credit him with helping secure other white collar convictions.
Stanford/Cornerstone Reports Breaks Down 2011 Securities Class Actions
Findings include a surge in litigation against Chinese issuers.
Stanford to Testify in Own Defense at Ponzi Trial
Allen Stanford plans to testify in his own defense in upcoming trial.
Justice Dept Suffers Another FCPA Setback
Court grants John O’Shea’s motion to dismiss 12 FCPA counts and one conspiracy count against him.
Archived Version and Materials for Jan. 12 Webcast: Effective Insider Trading Policies for Public Companies and Regulated Entities
Jay Dubow, Anthony Creamer and Alma Angotti joined us for this webcast.
SEC Names Jane Norberg as Deputy Chief of Whistleblower Office
SEC appoints Jane Norberg as Deputy Chief of office overseeing whistleblower program.
After Four Years and Much Drama, SEC IG H. David Kotz Leaving Agency
SEC’s Inspector General leaving the agency for private sector.
Former SEC Head of Enforcement for the Fort Worth Office Settles Conflict of Interest Allegations
Spencer Barasch settles federal conflict of interest allegations arising from representation of Stanford Financial Group.
Crowd To Congress: Hands Off The FCPA
Dozens of civil society and business groups fight efforts by the U.S. Chamber of Commerce to amend the FCPA.
Bruce Carton’s “2011: The Year in Enforcement”
Bruce Carton looks back at securities enforcement in the year 2011.
Criminal
- How Allen Stanford’s SEC Connections Enabled His $7 Billion Ponzi-Scheme
- How Hedge Funds Can Use Compliance, Technology to Stay Out of Insider Trading Crosshairs – Compliance Week
- Are the feds overdoing insider trading prosecutions? — Professor Bainbridge
- Must-Read: WSJ on ‘The FBI Agent Who Flips Insider-Trading Witnesses’ – Compliance Week
- Why the inside-trading crackdown misses the mark
Global
- Dutch Court Holds Collective Securities Settlement to Be Binding — The D&O Diary
- Japan: METI bigwig nabbed in insider trading via wife’s name
- U.K. Regulator Charges Man With 8 Counts of Insider Trading
- Jaypee executives fined for insider trading – The Times of India
- U.S. investors sue Lloyds chiefs over HBOS deal
People
- Rajaratnam prosecutor Streeter to join Dechert law firm
- Robert Morvillo, Legal Pioneer, Dies at 73
- Luis A. Aguilar Sworn In for Second Term as SEC Commissioner
- SEC’s Deputy Director of Enforcement Departing for Senior Position in U.S. Attorney’s Office for SDNY
- Stephen Pollard to Join WilmerHale’s London Office
SEC
- In S.E.C.’s Actions, a Hint at a Tougher Stance – NYTimes.com
- Former BDO partner pleads guilty to lying to SEC
- When Wall Street Sins, SEC Needs to Extract Confessions: View – BusinessWeek
- Business Roundtable Files Brief in Support of SEC in ‘Neither Admit Nor Deny’ Battle – Compliance Week
- The SEC Conducts Polygraph Tests?