‘Enforcement 40’ for 2020
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By Securities Docket on August 20, 2013, 9:11 am
On June 18, 2013, SEC Chair Mary Jo White announced that the agency would soon begin requiring admissions of wrongdoing from defendants to settle enforcement actions in certain egregious cases. Just two months later, the SEC took its first step under the new policy, announcing that hedge fund adviser Philip Falcone and his firm Harbinger […]
By Securities Docket on August 20, 2013, 8:38 am
When is a new hire on Wall Street scrutinized over possible bribery? Over the weekend, The New York Times reported that the Securities and Exchange Commission had opened an investigation into whether JPMorgan Chase had hired the children of powerful Chinese officials to help the bank win business. The investigation is sending shudders through Wall […]