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Securities Docket News Wire for June 28, 2011
Get caught up with the Securities Docket News Wire for June 28, 2011.
Lindsey Judge ‘Shocked’ By Gov’t Conduct
Judge requests briefs on whether defendants’ convictions should be dismissed.
UK: FSA expects big-name enforcement actions
FSA expects to bring cases that will have “significant impact.”
Supreme Court Grants Cert in Yet Another Securities Case
Court grants cert. in case related to so-called “short swing profits.”
The Compliance Defense Around The World
Compliance defense is common among OECD Anti-Bribery Convention signatory countries.
UK: Financial regulation to be ‘tougher and bolder’
Tougher “Financial Conduct Authority” coming by the end of 2012.