Building the Fifth Pillar of an Effective Anti-Money Laundering Compliance Program

Building the Fifth Pillar of an Effective Anti-Money Laundering Compliance Program

By Securities Docket on July 10, 2017, 1:49 pm

Please join Alma Angotti (Navigant) and Daniel L. Stipano (BuckleySandler) for this free webcast.

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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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Feb. 28 Webcast: Top SEC Concerns in Public Company Financial Reporting to Watch in 2017

Feb. 28 Webcast: Top SEC Concerns in Public Company Financial Reporting to Watch in 2017

By Securities Docket on February 20, 2017, 4:30 pm

Please join Nicolas Morgan and Jean Chow-Callam for this free webcast.

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March 16 Webcast: How to Prove and Defend Fraudulent Transfer Claims – A Legal and Valuation Perspective

March 16 Webcast: How to Prove and Defend Fraudulent Transfer Claims – A Legal and Valuation Perspective

By Securities Docket on February 14, 2017, 11:20 am

Please join Dion Hayes, Jeff Litvak, Scott Friedland and Clara Chin for this free webcast.

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Jan. 18 Webcast: Navigating the Minefield of Dodd-Frank’s Whistleblower Provisions and the FCPA (2016 Update)

Jan. 18 Webcast: Navigating the Minefield of Dodd-Frank’s Whistleblower Provisions and the FCPA (2016 Update)

By Securities Docket on December 22, 2016, 1:22 pm

Please join Patrick F. Stokes, Sean X. McKessy, F. Joseph Warin, John W.F. Chesley, Erika A. Kelton and Jim Barratt for this free webcast.

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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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Oct. 26 Webcast: The Ability-to-Pay Defense — a Strategy for Reducing Criminal Fines

Oct. 26 Webcast: The Ability-to-Pay Defense — a Strategy for Reducing Criminal Fines

By Securities Docket on October 17, 2016, 4:13 pm

Please join Seth Farber, Trey Nicoud, Basil Imburgia, Jeff Litvak, and Geoffrey Ihnow for this free webcast.

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July 14 Webcast: The Department of Labor’s New Conflict of Interest Regulations–A Game Changer for the Financial Services Industry

July 14 Webcast: The Department of Labor’s New Conflict of Interest Regulations–A Game Changer for the Financial Services Industry

By Securities Docket on June 23, 2016, 3:29 pm

Please join Brad Bondi and Michael Wheatley of Cahill Gordon & Reindel for this free webcast.

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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 Staff Endorses $61 Mln Award for Two JPMorgan Whistleblowers – AdvisorHub

By Securities Docket on July 20, 2017, 4:50 pm

Two whistleblowers whose outing of JPMorgan Chase’s bias toward selling wealth customers in-house funds led to the bank’s $267 million settlement with the government will receive payments equal to 23% of the award, according to a “preliminary determination” letter by SEC claim-review staffers. via SEC Staff Endorses $61 Mln Award for Two JPMorgan Whistleblowers – […]

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Trump’s SEC Pick Jibes with Deregulatory Agenda

By Securities Docket on July 20, 2017, 10:11 am

On at least two key issues, Peirce, whose previous nomination to the post by President Obama reportedly foundered because of objections by Sen. Elizabeth Warren and other Senate Democrats, has expressed views that seem to match Clayton’s. Like him, she appears to feel that the Department of Labor’s Fiduciary Rule may fall under the bailiwick of […]

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ASIC to use phone taps to prosecute insider trading | afr.com

By Securities Docket on July 20, 2017, 9:38 am

The corporate regulator may soon be able to listen to intercepted telephone calls to prosecute insider trading, after Treasury found ASIC’s investigation into at least two suspected insider trading cases failed because it did not have the power to use intercepted telephone conversations. In a consultation paper released on Thursday, Treasury said the Australian Securities […]

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Trump to nominate former Senate aide Peirce for SEC commissioner — Reuters

By Securities Docket on July 20, 2017, 9:12 am

U.S. President Donald Trump intends to nominate former Senate Republican aide Hester Maria Peirce to be a member of the Securities and Exchange Commission, the White House said on Tuesday. Peirce is a former Senate Banking Committee staff member and currently is the director of the Financial Markets Working Group at George Mason University’s Mercatus […]

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One Billion Reasons Why The SEC Whistleblower-Reward Program Is Effective

By Securities Docket on July 19, 2017, 8:37 am

When Congress included a whistleblower-reward program in the Dodd-Frank Act, the program faced considerable opposition. Many large banks and companies, along with the Chamber of Commerce, argued that it would undermine compliance programs and create a perverse financial incentive for employees who are responsible for identifying and investigating misconduct. Six years later, however, the program […]

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SEC Announces Christopher Hetner as Senior Advisor to the Chairman for Cybersecurity Policy

By Securities Docket on July 19, 2017, 8:33 am

The Securities and Exchange Commission today announced that Christopher R. Hetner will continue to serve as Senior Advisor to Chairman Jay Clayton for Cybersecurity Policy, having previously served in this role under Chair Mary Jo White and Acting Chairman Michael Piwowar. Mr. Hetner will continue to coordinate efforts across the agency to address cybersecurity policy, […]

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U.S. SEC’s Piwowar urges companies to pursue mandatory arbitration clauses — Reuters

By Securities Docket on July 18, 2017, 2:04 pm

A key U.S. securities regulator on Monday voiced support for possibly allowing companies to tuck language into their initial public offering paperwork that would force shareholders to resolve claims through arbitration rather than in court. “For shareholder lawsuits, companies can come to us to ask for relief to put in mandatory arbitration into their charters,” […]

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Kirkland & Ellis Hire Expands SEC Alumni Roster | Bloomberg BNA

By Securities Docket on July 18, 2017, 9:11 am

Kirkland & Ellis LLP has snagged another former senior SEC official in Washington after taking on two of them earlier this year, the law firm said July 11. Alpa Patel became a partner at the firm following her departure from the Securities and Exchange Commission’s Division of Investment Management, where she oversaw rulemaking on private […]

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What Robert Mueller Learned From Enron – The New York Times

By Securities Docket on July 17, 2017, 10:18 am

As I talked with Mr. Mueller’s former Enron Task Force colleagues in recent weeks, it became clear to me that he believes the Enron team was successful — and understands why. That means his special counsel team will probably move more slowly than people anticipate. But it might also shock people with its aggressive investigative […]

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Preet Bharara’s victories keep melting away | New York Post

By Securities Docket on July 17, 2017, 10:16 am

Among the most frequent — and, at least according to those on the left, credible — critics of President Trump has been Preet Bharara, who was the most powerful federal prosecutor in the country until Trump fired him on March 10, along with 45 of his fellow US attorneys. That credibility took a hit Thursday, […]

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