‘Enforcement 40’ for 2020
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By Securities Docket on September 17, 2013, 7:37 pm
Novartis AG’s eye-care division Alcon has opened an investigation into allegations that members of its Chinese staff bribed doctors at hundreds of hospitals in China, the second time the company has looked into possible problems at its China operations in as many months. via Novartis Investigates China Bribery Allegations – WSJ
By Securities Docket on September 17, 2013, 9:40 am
Agency employees are set to fan out across upscale Mayfair, home to some of London’s biggest hedge funds, this week, paying visits to more than a dozen hedge fund managers registered with the S.E.C. to determine whether they are in compliance with American regulations. The move reflects the S.E.C.’s new powers since the financial crisis, […]
By Securities Docket on September 17, 2013, 8:30 am
Get caught up with the Securities Docket News Wire for September 16, 2013.
By Securities Docket on September 17, 2013, 7:38 am
A federal judge on Monday approved the U.S. Securities and Exchange Commissions $18 million settlement with hedge fund manager Philip Falcone, the regulators first big case to include an admission of wrongdoing since a recent policy change. via Judge OKs SECs Falcone settlement with admission of wrongdoing — Reuters