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Join the Securities Litigation and Enforcement Group on LinkedInSecurities Docket News Wire for June 6, 2013
Get caught up with the Securities Docket News Wire for June 6, 2013.
After Monitoring Rakoff-SEC Battle, Ontario Limits ‘No-Consent’ Settlements – Compliance Week
After monitoring the growing judicial unrest in the U.S. with respect to approving “no admit, no deny” SEC settlements, the Ontario Securities Commission changed a proposed new rule this week that would have allowed such “no-contest” settlements (the OSC’s term for settlements that do not include an admission of a breach of securities law) in its […]
An Open Letter to SEC Chair Mary Jo White — Corporate Counsel
Dear Securities and Exchange Commission Chair Mary Jo White: Welcome to the SEC. By this point, you may be wondering why you agreed to serve. Trust me: after your first few months in office, it gets worse. As an alumnus of the agency who served more than two decades in a variety of SEC offices […]
Mum’s the Word About SEC Defeats – WSJ.com
More than three months ago, the Supreme Court unanimously dismissed Securities and Exchange Commission penalty claims against investment adviser Marc Gabelli because the SEC 5304.OK -11.05% took too long to file its case. But you wouldn’t know that if you monitored the case on the SEC website. You’d find the regulator’s initial fraud allegations against Mr. […]
SEC’s Andrew Ceresney Defends Neither Admit Nor Deny Settlements
At the Corporate Crime Reporter conference last month, Andrew Ceresney, the Securities and Exchange Commission’s (SEC) new co-director of enforcement, put up a spirited defense of the agency’s neither admit nor deny settlement policy. But during the question period, Ceresney also admitted that defendants who have entered neither admit nor deny settlements can readily deny […]
Big Four Professionals Face Insider Trading Consequences in U.S., Australia – Compliance Week
Just ten days but thousands of miles apart, two former Big Four professionals separately found themselves in hot water on insider trading charges. via Big Four Professionals Face Insider Trading Consequences in U.S., Australia – Compliance Week