‘Enforcement 40’ for 2020
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By Securities Docket on February 13, 2014, 4:58 pm
Although he faces a civil suit filed by the Securities and Exchange Commission, [Steve] Cohen, who has repeatedly denied wrongdoing, has yet to be charged with a criminal offense. Why? The reason tossed around most often is that Cohen has simply purchased the silence of his former employees, most notably Martoma, whose legal expenses were […]
By Securities Docket on February 13, 2014, 11:29 am
A jury’s mixed verdict in the SEC’s case against fund manager Marlon Quan had both the SEC and Quan declaring victory yesterday, although the SEC seems to have gotten the better of it. via Quan Jury Delivers Mixed Verdict But SEC Prevails on Key Fraud Claims – Compliance Week
By Securities Docket on February 13, 2014, 8:55 am
Get caught up with the Securities Docket News Wire for February 12, 2014.
By Securities Docket on February 13, 2014, 8:01 am
Margaret McGuire, Vice Chair of the SEC’s Financial Reporting and Audit Task Force, recently offered insight into the purpose and goals of the Task Force. Speaking at a D.C. Bar event on February 11, McGuire indicated that the Task Force was established in an effort to ensure that the SEC is doing everything it can […]
By Securities Docket on February 13, 2014, 7:59 am
The Chinese affiliates of the Big Four accounting firms Wednesday appealed a judge’s ruling suspending them from auditing U.S.-traded clients for six months—the latest move in a battle over how much help U.S. regulators can expect in investigating potential wrongdoing by companies based in China. via Big-Four Firms Appeal Audit Ban – WSJ.com