‘Enforcement 40’ for 2020
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By Securities Docket on August 30, 2013, 12:57 pm
In June 2013, the SEC announced that it had issued a whistleblower award to three whistleblowers in its Locust Offshore Management LLC case–but with no money at that time because the SEC had yet to collect anything. Today, the agency stated that it had awarded the three whistleblowers a total of $25,000, with another $100,000 […]
By Securities Docket on August 30, 2013, 8:43 am
China’s securities regulator imposed a record penalty on Everbright Securities Co. (601788) after finding the state-controlled broker engaged in insider trading as it roiled the nation’s equity markets with errant trades two weeks ago. Fines and the confiscation of illicit gains will total 523 million yuan ($85 million), the China Securities Regulatory Commission said in […]
By Securities Docket on August 30, 2013, 8:30 am
Get caught up with the Securities Docket News Wire for August 29, 2013.
By Securities Docket on August 30, 2013, 8:26 am
Why is this story important for the compliance practitioner? Because if you are charged with compliance, but are so incompetent that you cannot even investigate allegations laid down before you, you seriously need to get out of the compliance business…. The bottom line is that your compliance program must be credible. You must treat people […]