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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General Services Administration kicks off search for new SEC HQ – Washington Business Journal

By Securities Docket on June 21, 2017, 11:08 am

The federal government has officially kicked off its search for a new headquarters for the Securities and Exchange Commission, which has been located in space near Union Station in Northeast D.C. for more than a decade. The General Services Administration issued a presolicitation Monday seeking nearly 1.3 million square feet for the SEC as an […]

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Former DOJ Criminal Division Head to Join Latham – Law Blog – WSJ

By Securities Docket on June 21, 2017, 11:05 am

The former head of the Justice Department’s criminal division is joining the law firm Latham & Watkins, the firm announced on Wednesday, making the firm now home to two former assistant attorney generals for the criminal division, and three senior members of the Enron task force. Leslie Caldwell will join the firm in September in […]

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Former Assistant Attorney General, Leader of Criminal Div. to Join Firm — Latham & Watkins

By Securities Docket on June 21, 2017, 10:51 am

Latham & Watkins LLP1 is pleased to announce that Leslie R. Caldwell will join the firm’s San Francisco office as a partner in the White Collar Defense & Investigations Practice in September. Caldwell most recently served as the Presidentially appointed, Senate-confirmed Assistant Attorney General for the U.S. Department of Justice’s Criminal Division. She is a […]

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Plaintiffs Firms Earn Almost $1B in Fees From 2016 Securities Class Action Settlements | Law.com

By Securities Docket on June 21, 2017, 10:45 am

Last year was a big one for high-dollar settlements in securities class actions—and for the plaintiffs lawyers representing investors, who took in nearly $1 billion in legal fees and expenses in connection with settlements finalized in 2016. Settlements in 13 securities class actions that came to points of resolution in 2016 made it onto an […]

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Australia’s Slater and Gordon facing class action suit – Nasdaq.com

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

Australian law firm Slater and Gordon Ltd said on Tuesday it would “vigorously” defend itself against a class action filed by shareholder Babscay Pty Ltd over the company’s stock market disclosures. The claim, filed late on Monday, alleged that Slater and Gordon’s financial statements for the years ending 30 June 2013, 2014 and 2015 contained […]

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Record Number of Settlements Added to Top 100 Securities Suits Settlement List in 2016 | The D&O Diary

By Securities Docket on June 15, 2017, 10:25 am

Thirteen of the 100 all-time largest securities class action lawsuit settlements were finalized in 2016, the highest number of settlements during any one year period, according to a recent report from Institutional Shareholder Services (ISS). Two of the 2016 settlements among the top 100 were among the eleven largest of all times. The report, which […]

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Internal Audit’s Critical Role in Cybersecurity | AccountingWEB

By Securities Docket on June 15, 2017, 10:16 am

Organizations must constantly monitor cybersecurity practices, policies, and plans. This is where internal audit plays a crucial role. Once cybersecurity plans are created, organizations should enlist internal audit to do what it does best – test for effectiveness and efficiency of controls and protocols, and provide the board and management with assurance about those protections. […]

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Peter H. Bresnan to Join PCAOB as Senior Advisor in Division of Enforcement and Investigations

By Securities Docket on June 14, 2017, 4:02 pm

The Public Company Accounting Oversight Board today announced that Peter H. Bresnan will join the Division of Enforcement and Investigations as Senior Advisor to the Director, effective July 10. Mr. Bresnan brings to the PCAOB extensive experience in regulatory and enforcement matters, including as Deputy Director of the Division of Enforcement at the Securities and […]

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Reflections on Kokesh v. SEC: Potential Ramifications of SEC Disgorgement Being a Penalty — King & Spalding

By Securities Docket on June 14, 2017, 1:18 pm

But the Kokesh decision raises other potential consequences that have not been as widely noted. We address many of those other consequences here, including the following: • Does the five-year statute of limitations apply to administrative actions? • Will the five-year statute of limitations hinder SEC enforcement? • Will the SEC tie cooperation credit to […]

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Quinn Emanuel Snags Former Aide to SEC Chair White | Big Law Business

By Securities Docket on June 14, 2017, 9:44 am

A top adviser to former SEC Chairman Mary Jo White moved to Quinn Emanuel Urquhart & Sullivan LLP after a decade at the agency, the law firm said June 13. Michael Liftik, who was a deputy chief of staff under White, joined the firm as a partner in its Washington office. He will work on […]

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