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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China Securities Watchdog Loses Lawsuit on Insider Trading Case | Yicai Global

By Securities Docket on July 18, 2018, 2:45 pm

A Beijing high court has overturned a decision by China’s security regulator to impose a CNY130 million (USD19 million) fine on a businessman over insider trading citing a lack of evidence and violations of investigative procedures. via China Securities Watchdog Loses Lawsuit on Insider Trading Case | Yicai Global.

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DOJ/SEC FCPA Settlement Targets Hiring Practices Used as Bribes

By Securities Docket on July 18, 2018, 9:32 am

On July 5, 2018, the SEC and the Department of Justice announced that a large financial institution, has agreed to pay nearly $76 million to settle charges that its Hong Kong-based subsidiary, violated the Foreign Corrupt Practices Act. The case is another example of the U.S. government’s pursuit of companies that hire so-called “princelings,” a […]

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Bitcoin jumps after report says BlackRock exploring cryptocurrencies

By Securities Docket on July 16, 2018, 9:47 am

The price of bitcoin surged Monday after a report said that BlackRock has set up a working group to explore ways of taking advantage of the cryptocurrency market. via Bitcoin jumps after report says BlackRock exploring cryptocurrencies.

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SEC’s FCPA Action Time Barred

By Securities Docket on July 16, 2018, 9:45 am

The Commission’s FCPA complaint against two individuals at a hedge fund management firm involved with what the agency called a “sprawling scheme” to bribe various African public officials was dismissed as time barred. Specifically, the Court dismissed the SEC’s amended complaint against Michael Cohen and Vanja Baros, each of whom was employed by a subsidiary […]

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Whistleblower gets $30M in JPMorgan case – New York Business Journal

By Securities Docket on July 16, 2018, 9:08 am

The Commodity Futures Trading Commission (CFTC) has approved a record $30 million whistle-blower award to a financial investigator for his role in exposing a scam at JPMorgan Chase. via Whistleblower gets $30M in JPMorgan case – New York Business Journal.

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DOJ Fraud Task Force: What It Means for Financial Services – Manatt, Phelps & Phillips, LLP

By Securities Docket on July 16, 2018, 9:06 am

With the July 11 announcement by Deputy Attorney General Rod Rosenstein of the new Department of Justice (DOJ) Task Force on Market Integrity and Consumer Fraud comes the obvious question: How will this task force affect the ongoing role of the Bureau of Consumer Financial Protection (CFPB); the Financial Crimes Enforcement Network (FinCen); a preexisting fraud […]

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Ripple Beefs up Its Legal Team to Address the XRP Securities Lawsuit | NullTX

By Securities Docket on July 16, 2018, 9:04 am

Many experts are concerned that Ripple’s XRP asset may be labeled as a security by the SEC. Those concerns first became apparent several months ago when a securities fraud lawsuit was filed against the company. The plaintiffs claimed the firm had sold securities to investors while maintaining centralized control over the currency’s supply. Although this […]

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SEC Charges Former Heartland CEO, Romantic Partner in Insider Trading Scheme

By Securities Docket on July 13, 2018, 10:06 am

According to the SEC’s complaint, Robert O. Carr provided his longtime girlfriend, Katherine M. Hanratty, with confidential information about a potential acquisition of Heartland Payment Systems, Inc. by another payment processing company. In the weeks leading up to the merger announcement, Carr allegedly gave Hanratty $1 million to open a brokerage account and instructed her […]

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More About Climate Change Disclosure | The D&O Diary

By Securities Docket on July 13, 2018, 9:17 am

As I have previously noted on this site, climate change-related disclosure is a hot button issue for certain activist investors and non-governmental organization. A series of recent actions underscores the extent to which some groups are attempting to escalate these disclosure issues, with significant impact. As described below, a number of companies have joined collaborative […]

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SEC Probes Why Facebook Didn’t Warn Sooner on Privacy Lapse – WSJ

By Securities Docket on July 13, 2018, 9:15 am

John Reed Stark, a cybersecurity consultant and former SEC enforcement attorney, said the way Facebook reported the incident could raise a red flag for the SEC if Facebook earned revenue from contracts with third-party vendors that misused private member data yet failed to disclose that the contracts potentially violate global and U.S. privacy laws as […]

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