‘Enforcement 40’ for 2020
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By Securities Docket on October 23, 2013, 5:01 pm
The SEC has always been quite consistent about issuing Litigation Releases about new cases and following litigation victories, but it very rarely issues Litigation Releases about its losses. Today, however, the SEC did issue an unusual Litigation Release noting its defeat last week in the high-profile Mark Cuban insider trading trial. via SEC Issues Unusual […]
By Securities Docket on October 23, 2013, 8:30 am
Get caught up with the Securities Docket News Wire for October 22, 2013.
By Securities Docket on October 23, 2013, 8:17 am
The U.S. Securities and Exchange Commission is calling on corporate executives and boards to strengthen internal compliance programs as funding constraints limit the agency’s reach, SEC Chairman Mary Jo White said. via White Urges CEOs and Boards to Bolster SEC’s Compliance Efforts – Businessweek.
By Securities Docket on October 23, 2013, 8:14 am
The Public Company Accounting Oversight Board said Deloitte violated the Sarbanes-Oxley Act and PCAOB rules by allowing Christopher E. Anderson to work on a variety of matters for Deloitte after the PCAOB issued him a one-year suspension in 2008. Mr. Anderson declined to comment on the case. via Audit Regulator Fines Deloitte $2 Million – […]