‘Enforcement 40’ for 2020
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By Securities Docket on August 26, 2013, 9:25 am
A related issue that could arise is the question of exactly how bound the admitting parties are by their admissions. The Harbinger defendants’ Consent specifically recites that nothing in the agreement affects the defendants “right to take legal or factual positions in litigation or other proceedings or other legal proceedings in which the Commission is […]
Posted in Industry, SEC | Tagged Admissions, Settlements, Web Watch
By Securities Docket on August 26, 2013, 9:22 am
Nearly five years after the fall of Lehman Brothers, Morgan Stanley has earned some bragging rights. It’s the only major bank that hasn’t paid a federal fine related to the financial crisis. Morgan Stanley hasn’t even been accused of breaking the law. Neither have any of its bankers. via In post-crisis investigations, Morgan Stanley stands […]
Posted in Industry, SEC, Top | Tagged Financial Crisis
By Securities Docket on August 26, 2013, 8:30 am
Get caught up with the Securities Docket News Wire for August 25, 2013.
By Securities Docket on August 26, 2013, 8:24 am
I recently read an article in the summer 2013 issue of the MIT Sloan Management Review, entitled “Designing Trustworthy Organizations”, by the quartet of authors: Robert F. Hurley, Nicole Gillespie, Donald L. Ferrin and Graham Dietz. In this article, the authors address the question of “How can companies recover from trust failures and create reputations […]
Posted in Industry, SEC | Tagged Compliance, Web Watch