Regulators

SEC’s Secures Funding to Expand NY Office in 2010

By Securities Docket on March 3, 2010, 11:01 am

NY office will add significantly to enforcement and examinations units.

Posted in SEC | Tagged Funding, Regulators | Leave a response

Madoff Whistleblower Markopolos Lashes Out at SEC

By Amanda Harding on February 25, 2010, 11:43 am

Harry Markopolos bashes SEC in upcoming NYT Magazine article.

Posted in SEC | Tagged Madoff, Regulators | 2 Responses

Technip Reserves €245 Million in Anticipation of FCPA Settlement

By Securities Docket on February 15, 2010, 3:17 pm

Technip reserves €245 million in anticipation of settlements in bribery investigations.

Posted in Criminal, Global, SEC | Tagged FCPA, Features, Prosecutors, Regulators | Leave a response

SEC Charges Eye Doctor with Insider Trading

By Securities Docket on February 12, 2010, 1:56 pm

SEC files insider trading action against Illinois ophthalmologist.

Posted in SEC | Tagged Insider Trading, Regulators | Leave a response

UK: BAE Settlement Raises More Questions

By Amanda Harding on February 10, 2010, 4:08 pm

BAE settlement highlights differences in how UK and US deal with corruption.

Posted in Global, Regulation | Tagged Regulators, UK | Leave a response

Overheard at ‘The Enforcers’ Photoshoot

By Securities Docket on February 10, 2010, 10:20 am

Game faces, people!!

Posted in SEC | Tagged Regulators | Leave a response

UK: FSA Chief to Step Down After Election

By Securities Docket on February 9, 2010, 6:46 pm

FSA Chief Hector Sants announces he will step down after general election.

Posted in Global, People | Tagged Regulators, UK | Leave a response

Former SEC Commissioner Laura Unger Joins Promontory Financial Group

By Securities Docket on February 9, 2010, 6:30 pm

Former SEC Commissioner Unger joins Promontory Financial Group.

Posted in People, SEC | Tagged Lawyers, Regulators | Leave a response

SEC’s New Approach to Enforcement Showing Results in Insider Trading Area

By Securities Docket on February 8, 2010, 11:48 pm

Uptick in number of insider trading cases attributed in part to SEC Enforcement Division reorganization.

Posted in SEC | Tagged Insider Trading, Regulators | Leave a response

FINRA Lays Off Five Senior Enforcement Officials

By Securities Docket on February 8, 2010, 2:14 pm

FINRA lays off five senior enforcement officials as part of recent management restructuring.

Posted in Industry | Tagged FINRA, Layoffs, Regulators | Leave a response