‘Enforcement 40’ for 2020
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By Securities Docket on April 20, 2009, 10:00 pm
Judge blocks attempt to force Madoff into bankruptcy, finds probable cause his assets should go to government. http://bit.ly/J1rTj #sdx # Beginning April 21: Three Excellent Upcoming Webcasts on SEC Enforcement Issues. http://bit.ly/6uYGG #sdx # Honk Kong: Securities Regulators Obtain Prison Sentence in a Second Case for Insider Trading. http://bit.ly/pdJz5 #sdx # SEC: Enforcement Headcount “Well […]
By Securities Docket on April 20, 2009, 4:04 pm
Over the next three weeks (starting tomorrow, April 21), Securities Docket has three terrific webcasts lined up on different aspects of SEC Enforcement. The webcasts will feature current and former leaders of the SEC’s Enforcement efforts, as well as the DOJ, who will examine the extraordinary changes afoot at the SEC and the impact they are already having and will have on corporations, hedge funds, attorneys, “gatekeepers,” and others in the U.S. and worldwide.
By Securities Docket on April 20, 2009, 2:00 pm
It’s not just the UK that is cracking down on insider trading. Take a look at Hong Kong. Less than three weeks after Ma Hon-yeung, a former BNP Paribas vice president, and his girlfriend, Ivy Lo, became the first people in Hong Kong to be jailed for insider trading (sentenced to 26 months and 12 […]
By Securities Docket on April 20, 2009, 1:09 pm
Although the SEC has publicly stated several times recently that it needs additional resources to properly fulfill its mission in the enforcement area, the agency is presently stuck in a holding-pattern until Congress approves its new budget. The Legal Times reports that according to the SEC’s George Curtis, Deputy Director of the Enforcement Division, his […]
By Securities Docket on April 20, 2009, 12:53 pm
FOX Business’ Adam Shapiro reports in this video on a possible plea deal in the works for Madoff auditor, David Friehling.
By Securities Docket on April 20, 2009, 6:45 am
The Carlyle Group stated that it has “stopped using finders to ensure the integrity of the investment process” following the indictment of a New York state political figure to whom it paid $12 million in finder’s fees. The FT reports that the change in policy is part of the fall out from an investigation by […]