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By Securities Docket on January 4, 2013, 2:51 pm
After leading the UK’s FSA into and out of the financial crisis, Hector Sants is awarded knighthood for his “services to financial regulation.” Well played, Sir Hector! via Former FSA Chief Hector Sants Granted Knighthood – Compliance Week
By Securities Docket on January 4, 2013, 1:11 pm
Get caught up with the Securities Docket News Wire for January 3, 2013.
By Securities Docket on January 4, 2013, 11:15 am
The SEC has reportedly decided not to pursue a civil enforcement action against former Berkshire Hathaway executive, David Sokol. That’s great news for Sokol but it doesn’t necessarily mean that he has been “exonerated” and “completely cleared” by the agency, as his counsel now asserts. via Sokol ‘Exonerated’ and ‘Cleared’ by SEC? – Compliance Week
By Securities Docket on January 4, 2013, 8:02 am
Indian business leaders who got swept up in the accounting scandal known as “India’s Enron” escaped a U.S. shareholder class action this week, thanks to their lawyers at Weil Gotshal & Manges, Cooley, and Debevoise & Plimpton. In a 71-page ruling issued on Wednesday, U.S. District Judge Barbara Jones in Manhattan dismissed securities fraud claims […]
By Securities Docket on January 4, 2013, 7:47 am
The U.S. securities regulator has decided not to take action against David Sokol, once considered a possible candidate for the top job at Warren Buffett’s Berkshire Hathaway Inc, Sokol’s lawyer told Reuters. In 2011, Buffett said Sokol violated the company’s insider trading rules to score a $3 million windfall profit on shares of U.S. chemicals […]