‘Enforcement 40’ for 2020
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By Securities Docket on June 26, 2013, 11:01 am
U.S. officials are investigating whether hedge-fund titan Steven A. Cohen purposely avoided learning about alleged criminal activity at his firm and, if so, whether that behavior could form an element of any charges against him, according to people familiar with the matter. via Authorities Investigating SAC Capital Are Considering a ‘Willful Blindness’ Approach – WSJ
By Securities Docket on June 26, 2013, 10:44 am
The breadth of rules that any SEC enforcement staff member potentially has to cover is truly staggering. The arcana of the Investment Management Division are quite different from the arcana of the Trading & Markets and Corporation Finance Divisions, but at different times the enforcement staff have to be conversant in all of it. A […]