‘Enforcement 40’ for 2020
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By Securities Docket on January 5, 2014, 11:32 am
Posts on three key enforcement areas to watch in 2014, the world of SEC whistleblowers, and a detailed look at how the SEC analyzed potential mortgage cases.
By Securities Docket on January 5, 2014, 11:17 am
The arrests last February of Mr. Linderum and a colleague led to the collapse of their roughly $100 million hedge fund, Lodestone Investment Partners LLP. Seven people lost their jobs. Nearly 10 months later, the Financial Conduct Authority dropped the investigation of the two Lodestone executives and a third trader from another hedge fund who […]
By Securities Docket on January 5, 2014, 11:16 am
Fund groups are on red alert over the global regulatory clampdown on insider trading as new figures reveal the level of fines, arrests and investigations around the world jumped significantly in 2013. via Red alert over record year for insider dealing – FT.com