Jan. 27 Webcast Materials
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You are browsing the archive for March 2011.
Why SEC May Not Bring Charges Against Sokol
Facts may not add up to “material non-public information.”
Rajaratnam Trial Lawyers Push Research Defense
Defense claims research and market speculation, not inside information, guided trades.
Witness in Galleon Trial Says Fake Email Trails Were Just One of Many Smokescreens
Galleon traders allegedly used many tactics to conceal insider trading.
Australia: Inside Trader Gets Time Inside
Macquarie Bank’s de Silva sentenced to 2½ years for insider trading.
Securities Docket News Wire for March 31, 2011
Get caught up with the Securities Docket News Wire for March 31, 2011.
“Schapiro SEC Seen Ineffectual Amid Dodd-Frank Funding Curbs”
Bloomberg article probes SEC’s performance in difficult circumstances.
“FSA Should Be Brought to Book Over Gartmore Probe”
Commentator observes that “when the regulator fails to find evidence of a misdemeanour, there is a dreadful silence.”
U.K. Bribery Act to Finally Take Effect in July
After two delays, Act will finally take effect in July.
SEC Set to Deliver “Trouble with a Capital T”
Asset Management unit expected to bring “stepped up, serious enforcement.”
Corruption Concerns Cause Companies To Abandon Partners
Dow Jones survey shows more than half of companies scrap partnerships due to corruption fears.