Jan. 27 Webcast Materials
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You are browsing the archive for September 2011.
SEC’s IG Prepares to Release Barrage of High-Profile Investigative Reports
IG expected to release no fewer than three high-profile reports in September.
Ex-E&Y partner’s insider trading conviction upheld
Second Circuit concludes jury charge was “legally sufficient.”
Securities Docket News Wire for Sept. 9, 2011
Get caught up with the Securities Docket News Wire for Sept. 9, 2011.
Dodd-Frank Paperwork a Bonanza for Consultants and Lawyers
Lawyers, corporate accountants, financial consultants, risk management advisers, turnaround artists and technology vendors all look for a cut.
Back to Reality: Debunking the SEC ‘Whitewash’ Theory
Is the SEC discarding closed MUI files to help whitewash Wall Street’s dirty laundry? Don’t bet on that.
Sino-Forest Executives to Face ‘Direct Hit’ From Regulator in Fraud Probe
OSC acts with unusual speed in Sino-Forest case.
SEC Files Subpoena Enforcement Action Against Deloitte & Touche in Shanghai
Action follows firm’s alleged failure to produce documents related to SEC’s investigation into possible fraud by firm’s client, Longtop Financial.
Securities Docket News Wire for 2011-09-08
SEC Shifts Tack on Document Destruction Amid Whistleblower Threat http://t.co/vJhrXrM # Judge Rejects Proposed HSBC Settlement in Madoff Case http://t.co/3VpELJf # What to Watch Now in the World of D&O http://t.co/b6pWCn1 # Sept. 16 Webcast: Resolving Corporate Investigations with DPAs and NPAs http://t.co/DKxjAzi # Archived Version and Materials for Sept. 7 Webcast: The Supreme Court’s [...]
SEC Shifts Tack on Document Destruction Amid Whistleblower Threat
SEC will “suspend the current policy out of an abundance of caution until a new policy is in place.”