By Securities Docket on November 30, 2011, 3:11 pm
Court cites government misconduct including false information to get a search warrant and incorrect testimony to grand jury.
Posted in Criminal, Top | Tagged Dismissals, Misconduct
By Securities Docket on November 30, 2011, 2:11 pm
House committee circulates memorandum on Congressional rules barring insider trading and conflicts of interest.
Posted in Industry, SEC | Tagged Ethics, US Congress
By Securities Docket on November 30, 2011, 1:55 pm
Get caught up with the Securities Docket News Wire for Nov. 30, 2011.
Posted in News Wire | Tagged News Wire
By Securities Docket on November 29, 2011, 9:11 pm
SEC options include an appeal or moving to a new enforcement model.
Posted in SEC | Tagged Appeals, Settlements
By Securities Docket on November 29, 2011, 5:11 pm
Has the SEC’s reliance on penalties lost its deterrent effect?
Posted in SEC | Tagged Opinion
By Securities Docket on November 29, 2011, 5:11 pm
What is the SFO actually doing under the Bribery Act right now?
Posted in Global | Tagged UK Bribery Act
By Securities Docket on November 29, 2011, 5:11 pm
Why do compliance practitioners “vastly overstate the risk that the FCPA brings to companies?”
Posted in Criminal, Industry, SD Insider, SEC | Tagged Compliance
By Securities Docket on November 29, 2011, 5:11 pm
The SEC “needs new leadership: someone with a sense of history, vision and a backbone.”
Posted in SEC | Tagged Opinion |
By Securities Docket on November 29, 2011, 5:11 pm
The SEC can resolve cases without court approval. So why didn’t they do that with Citi?
Posted in SEC | Tagged Settlements
By Securities Docket on November 29, 2011, 5:11 pm
Stanford attorney says Stanford cannot be arraigned “until his competency status changes.”
Posted in Criminal, Top | Tagged Stanford, Trials