‘Enforcement 40’ for 2020
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By Securities Docket on August 8, 2013, 12:09 pm
In a ruling this week, a federal court found that the virtual currency “Bitcoin” meets the definition of a security and is therefore subject to regulation. The ruling means that the SEC’s lawsuit last week alleging a Bitcoin Ponzi scheme may proceed in court. via Court Finds ‘Bitcoin’ Meets Definition of a Security, is Subject […]
Posted in SEC, Top | Tagged Bitcoin, Securities
By Securities Docket on August 8, 2013, 9:08 am
Question: When is a “whistleblower” not really a “whistleblower”? Answer: When an employee reports potential misconduct only to his or her employer and that employer happens to be located in the Fifth Circuit. via When Is A ‘Whistleblower’ Not Really A ‘Whistleblower’? – Forbes.
Posted in Industry, SEC, Top | Tagged Dodd-Frank, Whistleblowers
By Securities Docket on August 8, 2013, 8:39 am
True Office is trying to make compliance training more interesting and effective — by turning it into a video game. Last week the company released games focused on insider trading and U.K. Bribery Act compliance that seek to “transform mandatory training into a fun and quantifiable experience.” via The ‘Gamification’ of Insider Trading Compliance Training […]
Posted in Industry, Top | Tagged Compliance, Games, Insider Trading, Training
By Securities Docket on August 8, 2013, 8:30 am
Get caught up with the Securities Docket News Wire for August 7, 2013.
By Securities Docket on August 8, 2013, 7:40 am
Just days after a federal jury sided with the Securities and Exchange Commission and found former Goldman Sachs trader Fabrice Tourre liable for defrauding investors in a doomed collateralized debt obligation, UBS AG agreed Tuesday to pay $49.8 million to settle SEC allegations that it misled investors when it created a similar CDO in 2007. […]
Posted in SEC, Top | Tagged CDOs, Settlements
By Securities Docket on August 8, 2013, 7:37 am
JPMorgan Chase disclosed on Wednesday that it faced a criminal and civil investigation into whether it sold shoddy mortgage securities to investors in the run-up to the financial crisis, the latest legal threat to the nation’s biggest bank. via JPMorgan Reveals It Faces Criminal and Civil Inquiries – DealBook
Posted in Criminal, Industry, SEC | Tagged Investigations, Mortgage-Backed Securities