‘Enforcement 40’ for 2020
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By Securities Docket on August 6, 2009, 8:53 pm
In this Reuters video, two former SEC officials, Howard Elisofon and former SEC Commissioner Paul Atkins, discuss SEC issues such as whether current SEC Chairman Mary Schapiro’s aggressive stance will be effective, and the concept of self-funding.
By Securities Docket on August 6, 2009, 4:34 pm
FOX Business’ Adam Shapiro reports on the latest on the recovery efforts for Bernard Madoff’s victims, who are now claiming that payments to trustee Irving Picard should be held up. Watch the latest business video at <a href=”http://video.foxbusiness.com/” mce_href=”http://video.foxbusiness.com/”>FOXBusiness.com</a>
By Securities Docket on August 6, 2009, 1:07 pm
On August 3, 2009, Insight Enterprises Inc. disclosed in a Form 8-K filed with the SEC that the staff of the SEC notified the Company that its investigation into the Company’s historical accounting treatment of aged trade credits has been completed and that the staff does not intend to recommend any enforcement action by the […]
By Securities Docket on August 6, 2009, 11:51 am
The SEC today charged former American International Group Chairman and CEO Maurice “Hank” Greenberg and former Vice Chairman and CFO Howard Smith for their involvement in numerous allegedly improper accounting transactions that inflated AIG’s reported financial results between 2000 and 2005. The SEC alleges in its complaint that Greenberg and Smith were responsible for material […]
By Securities Docket on August 6, 2009, 11:13 am
In a speech yesterday before the New York City Bar Association marking the end of his first 100 days as Director of the SEC Division of Enforcement, Robert Khuzami formally announced several important changes to the Enforcement program. Full details are available in this post on my Enforcement Action blog over at Compliance Week.
By Securities Docket on August 6, 2009, 10:42 am
Guest columnists Nader H. Salehi and Elizabeth A. Marino of the law firm Bingham McCutchen LLP write that in SEC v. Maynard L. Jenkins, the Commission has broken new ground, essentially interpreting SOX 304 to have a strict liability standard.
By Securities Docket on August 6, 2009, 10:17 am
A copy of SEC Enforcement Director Robert Khuzami’s “First 100 Days” speech from August 5, 2009 announcing numerous important Enforcement initiatives is available here.
By Securities Docket on August 6, 2009, 6:55 am
Billion-Dollar Suit Filed Against Citi and Credit Suisse; 4 indicted for Dick’s Sporting Goods kickbacks, insider trading; SEC’s Schapiro calls for self-funding; Khuzami announces SEC’s plans for more subpoena power, specialized enforcement units; Jury Finds Jefferson Guilty, But Not of FCPA Charge; Madoff Litigator Jospeh Cotchett eyes new defendants in Madoff case; Austria: FMA to investigate OMV chief over share buy; CNBC Video: SEC’s Mary Schapiro on the Future of Flash Trading; No One’s Getting Paid in the Allen Stanford Case; and more.