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You are browsing the archive for April 2009.
Today’s Webcast (April 21) — SEC Enforcement Update: A Wounded Animal is a Dangerous Animal
Today, at 2 pm Eastern, Securities Docket will host a webcast entitled, “SEC Enforcement Update: A Wounded Animal is a Dangerous Animal.” In a sharp detour from the era of Chairman Christopher Cox, the SEC under new Chairman Mary Shapiro’s leadership has obtained big budget increases that will be used to increase the number of [...]
Securities Docket News Wire for April 20, 2009
Judge blocks attempt to force Madoff into bankruptcy, finds probable cause his assets should go to government. http://bit.ly/J1rTj #sdx # Beginning April 21: Three Excellent Upcoming Webcasts on SEC Enforcement Issues. http://bit.ly/6uYGG #sdx # Honk Kong: Securities Regulators Obtain Prison Sentence in a Second Case for Insider Trading. http://bit.ly/pdJz5 #sdx # SEC: Enforcement Headcount “Well [...]
Three Excellent Upcoming Webcasts on SEC Enforcement Issues
Over the next three weeks (starting tomorrow, April 21), Securities Docket has three terrific webcasts lined up on different aspects of SEC Enforcement. The webcasts will feature current and former leaders of the SEC’s Enforcement efforts, as well as the DOJ, who will examine the extraordinary changes afoot at the SEC and the impact they are already having and will have on corporations, hedge funds, attorneys, “gatekeepers,” and others in the U.S. and worldwide.
Honk Kong: Securities Regulators Obtain Prison Sentence in a Second Case for Insider Trading
It’s not just the UK that is cracking down on insider trading. Take a look at Hong Kong. Less than three weeks after Ma Hon-yeung, a former BNP Paribas vice president, and his girlfriend, Ivy Lo, became the first people in Hong Kong to be jailed for insider trading (sentenced to 26 months and 12 [...]
SEC: Enforcement Headcount “Well Down,” Waiting on Budget Approval
Although the SEC has publicly stated several times recently that it needs additional resources to properly fulfill its mission in the enforcement area, the agency is presently stuck in a holding-pattern until Congress approves its new budget. The Legal Times reports that according to the SEC’s George Curtis, Deputy Director of the Enforcement Division, his [...]
FOX Business Video: Plea Deal May Be in Works for Madoff Auditor
FOX Business’ Adam Shapiro reports in this video on a possible plea deal in the works for Madoff auditor, David Friehling.
Carlyle Group Stops Using Finders to Help Win Pension Investments
The Carlyle Group stated that it has “stopped using finders to ensure the integrity of the investment process” following the indictment of a New York state political figure to whom it paid $12 million in finder’s fees. The FT reports that the change in policy is part of the fall out from an investigation by [...]
Securities Docket News Wire for April 18, 2009
India: SEBI may make D&O liability insurance must for listed companies. http://bit.ly/DxOI3 #sdx # NYT: In State Pension Inquiry, a Scandal Snowballs. http://bit.ly/Qo0au #sdx # Court papers: Merkin got Madoff warning years ago. http://bit.ly/fF0U #sdx #
U.S. Attorney Catherine Hanaway to Resign, Join Ashcroft Law Firm
Catherine Hanaway, U.S. Attorney for the Eastern District of Missouri, announced that she will resign her position April 20 to join former U.S. Attorney General John Ashcroft’s new law firm. The St. Louis Business Journal reports that Hanaway will lead a new St. Louis office of Ashcroft’s firm. Ashcroft’s firm will be headquartered in Kansas [...]
Securities Docket News Wire for April 17, 2009
Web Watch: Best Blog Posts and Columns For the Week Ending April 17. http://bit.ly/15XysI #sdx # SEC and CFTC Continue to Battle “Ponzimonium.” http://bit.ly/KyAKW #sdx # PBS Video: First Television Interview with Mary Schapiro. http://bit.ly/zUa0I #sdx # April 21 Webcast — SEC Enforcement Update: A Wounded Animal is a Dangerous Animal. http://bit.ly/ygC6i #sdx # Dechert [...]