‘Enforcement 40’ for 2020
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By Securities Docket on November 12, 2013, 3:33 pm
The Securities and Exchange Commission today announced a deferred prosecution agreement with a former hedge fund administrator who helped the agency take action against a hedge fund manager who stole investor assets. via SEC Announces First Deferred Prosecution Agreement With Individual — SEC Press Release
By Securities Docket on November 12, 2013, 1:07 pm
You would think that the noise surrounding the supposed “revolving door” problem would die down given (a) the lack of evidence to support it, and (b) the growing research refuting it, but it never really seems to subside. The latest proposals against this so-called scourge involve half-million dollar annual salaries for government workers and lifetime […]
By Securities Docket on November 12, 2013, 9:58 am
While making millions in their alleged secret insider trades, Sydney banker Oliver Curtis reportedly told his one-time best mate John Hartman over a drink that “there was no easier money in the world being made than this”. Yesterday the two met again in Sydney’s Downing Centre local court in far from easy circumstances — a […]
By Securities Docket on November 12, 2013, 8:30 am
Get caught up with the Securities Docket News Wire for November 11, 2013.
By Securities Docket on November 12, 2013, 7:46 am
Insider trading is more about the unfairness of someone realizing benefits from unauthorized trading on confidential information than about identifying victims of the violation. Although it is a misnomer to describe it as a “victimless crime,” it is a type of securities fraud in which no one will have an identifiable loss like the victim […]