‘Enforcement 40’ for 2020
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By Securities Docket on October 18, 2013, 10:38 am
Posts on government shutdown warnings in companies’ SEC filings, the return of the SEC’s “swagger,” and the impact of the $14 million whistleblower bounty.
By Securities Docket on October 18, 2013, 9:10 am
Compliance Week readers know as well as anyone that compliance ain’t easy. After just 10 months on the job as Barclays’ head of compliance and regulatory relations, Sir Hector Sants can attest to that, as well. The former head of the UK’s FSA will be taking a three month leave of absence for “exhaustion and […]
By Securities Docket on October 18, 2013, 8:30 am
Get caught up with the Securities Docket News Wire for October 17, 2013.
By Securities Docket on October 18, 2013, 7:39 am
A former technology analyst at expert networking firm Primary Global Research LLC avoided jail time on Thursday after a judge praised his “very substantial assistance” in cooperating with a government insider-trading investigation. Bob Nguyen, 34, who pleaded guilty in January 2011 to leaking confidential corporate information to hedge funds, received two years of probation from […]
By Securities Docket on October 18, 2013, 7:37 am
On Sept. 30, the Securities and Exchange Commission filed an administrative order that banned [Massimo] Martinucci from the securities industry for life. SEC officials filed 21 additional enforcement actions on the same day—the last one of fiscal 2013. For all of September, the SEC launched 128 administrative proceedings, up 86% from 69 such cases in […]
By Securities Docket on October 18, 2013, 7:33 am
Speaking recently the General Counsel of the SFO, Alun Milford, said: “Commentators have [raised the question] It’s all very well saying how tough you intend to be, but where are the cases? About half of our operational resource is engaged in corruption-related casework. Bribery Act cases are being worked up in our intelligence section and, […]