‘Enforcement 40’ for 2020
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By Securities Docket on December 17, 2013, 12:13 pm
Today, the SEC released statistics about its enforcement efforts in fiscal year 2013. For the year ending September 30, 2013, the SEC filed 686 enforcement actions and generated a record $3.4 billion in monetary sanctions against defendants and respondents in its cases. via ‘Well-Positioned’ SEC Releases FY 2013 Enforcement Statistics – Compliance Week
By Securities Docket on December 17, 2013, 8:55 am
Get caught up with the Securities Docket News Wire for December 16, 2013.
By Securities Docket on December 17, 2013, 7:23 am
JPMorgan Chase, the biggest U.S. bank by assets, is banning the use of multidealer online chat rooms and the use of such chat rooms among staff for social purposes, a person familiar with the matter told Reuters on Tuesday. Chat rooms have been a focus for regulators investigating manipulation of benchmark interest rates and possible […]
By Securities Docket on December 17, 2013, 7:13 am
The U.S. Securities and Exchange Commission asked a federal judge to order former Goldman Sachs Group Inc vice president Fabrice Tourre to pay more than $1.1 million for his role in a failed 2007 mortgage deal, according to a court document filed Monday in Manhattan federal court. via SEC seeks $1.1 m-plus from ex-Goldman VP […]