‘Enforcement 40’ for 2020
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By Securities Docket on November 13, 2013, 4:36 pm
Robert Khuzami, who spent four years as enforcement director, defended the commission’s long-standing “no admit, no deny” practice. Any person reading a newspaper article about a big SEC settlement, he said, would not walk away with the notion the company making the deal did nothing wrong. Khuzami described what he called the “whole package” of […]
By Securities Docket on November 13, 2013, 12:07 pm
As this blog’s readers know, compliance ain’t easy. In mid-October, Sir Hector Sants, Barclays’ head of compliance and regulatory relations, decided to take a three month leave of absence after being diagnosed as suffering from “exhaustion and stress.” Sants was expected to return to his position with Barclays in early 2014, but the firm announced […]
By Securities Docket on November 13, 2013, 8:30 am
Get caught up with the Securities Docket News Wire for November 12, 2013.
By Securities Docket on November 13, 2013, 8:00 am
A former hedge-fund administrator will get a break for helping the Securities and Exchange Commission uncover fraud at the fund, an agreement that marks a first for the agency and makes use of a concept pioneered by its current chairman decades ago. The SEC announced Tuesday that it will forego significant enforcement action against Scott […]
By Securities Docket on November 13, 2013, 7:50 am
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