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Join the Securities Litigation and Enforcement Group on LinkedInSEC Issues Unusual Litigation Release Announcing Defeat in Mark Cuban Trial – Compliance Week
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 […]
Securities Docket News Wire for October 22, 2013
Get caught up with the Securities Docket News Wire for October 22, 2013.
White Urges CEOs and Boards to Bolster SEC’s Compliance Efforts – Businessweek
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.
Audit Regulator Fines Deloitte $2 Million – WSJ
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 – […]