Jan. 27 Webcast Materials
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You are browsing the archive for November 2011.
Lindsey Manufacturing Bribery Case Tentatively Dismissed
Court cites government misconduct including false information to get a search warrant and incorrect testimony to grand jury.
Ethics Committee Offers Insider-Trading Guidance
House committee circulates memorandum on Congressional rules barring insider trading and conflicts of interest.
Securities Docket News Wire for Nov. 30, 2011
Get caught up with the Securities Docket News Wire for Nov. 30, 2011.
Judge Rakoff Rejects Citigroup Settlement: So Now What?
SEC options include an appeal or moving to a new enforcement model.
It’s cognitive dissonance time at the SEC
Has the SEC’s reliance on penalties lost its deterrent effect?
The UK Bribery Act: Engagement With Companies And Compliance Effects
What is the SFO actually doing under the Bribery Act right now?
Scare the Crap Out of Them
Why do compliance practitioners “vastly overstate the risk that the FCPA brings to companies?”
Is the Judiciary about to Give the SEC a Backbone?
The SEC “needs new leadership: someone with a sense of history, vision and a backbone.”
Surely The SEC Is Sick Of Going To Court By Now?
The SEC can resolve cases without court approval. So why didn’t they do that with Citi?
Stanford Still Not Competent for Ponzi Trial
Stanford attorney says Stanford cannot be arraigned “until his competency status changes.”