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You are browsing the archive for October 2009.
Securities Docket A.M. News Wire for October 20, 2009
Get caught up with the Securities Docket A.M. News Wire for October 20, 2009.
SD Video: Breaking Down the Impact of the Rajaratnam Case
David Seide and Bruce Carton discuss wiretaps in the Rajaratnam case and the impact on hedge fund compliance.
Video: How SEC Cases Can Go Criminal
Ross Albert joins Bruce Carton to discuss recent criminal charges under “Section 1001″ flowing from an SEC case.
Report: 10 More Insider Trading Arrests Coming Against Securities Professionals
Pending arrests follow one of the largest-ever undercover operations into insider trading.
Hedge Funds Scramble to Step Up Compliance Following Rajaratnam Arrest
Will what used to be “minor trading floor indiscretions” now be prosecuted as significant crimes?
NLJ: Khuzami Provides Updates on Numerous Initiatives
NLJ profile sheds light on several ongoing initiatives.
November 4 Webcast — SEC Enforcement: Key Developments From FY 2009 and What May Be Ahead in FY 2010
Please join Wilmer’s Bill McLucas and FTI’s Marty Wilczynski for this free webcast on Wed., Nov. 4.
Securities Docket A.M. News Wire for October 19, 2009
Get caught up with the Securities Docket A.M. News Wire for October 19, 2009.
Securities Docket A.M. News Wire for October 18, 2009
Get caught up with the Securities Docket A.M. News Wire for October 19, 2009.