‘Enforcement 40’ for 2020
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By Securities Docket on March 17, 2014, 10:06 am
A civil case filed Thursday by the Securities and Exchange Commission against former SAC tech analyst Ronald Dennis mentioned three unnamed portfolio managers who received his illicit tips — netting SAC $3.8 billion in profits and avoiding losses. The SEC did not name the portfolio managers, but Bloomberg Businessweek has identified “Portfolio Manager C” as none […]
By Securities Docket on March 17, 2014, 10:04 am
Credit Suisse’s headquarters in Germany was one of the offices raided by German authorities last month as part of an investigation into insider trading, a spokeswoman for the state prosecutor’s office in Stuttgart said. via Credit Suisse’s German offices searched in insider trading probe — Reuters
By Securities Docket on March 17, 2014, 9:42 am
We reported back in 2012 that the UK’s Serious Fraud Office (“SFO”) had confirmed its commitment to enforcing the UK Bribery Act 2010 (“Bribery Act”) and that its new powers to prosecute bribery offences would remain an important tool in actions overseas. So where are we now? via Bribery prosecutions in the UK – where […]
By Securities Docket on March 17, 2014, 9:36 am
Please join Satnam Tumani, Jeffrey Bryant, Julian Glass and Andrew Mitchell QC for this free webcast.