‘Enforcement 40’ for 2020
Join Us On LinkedIn
Join the Securities Litigation and Enforcement Group on LinkedIn
You are browsing the site archives by date.
By Securities Docket on May 21, 2014, 3:07 pm
The securities industry’s compliance officers and lawyers need better guidance on whether they can be held liable for the misdeeds of other employees at their firms, two U.S. regulators said this week. At separate conferences, Securities and Exchange Commission members Kara Stein and Daniel Gallagher called for the agency to provide more clarity, noting many […]
By Securities Docket on May 21, 2014, 10:31 am
It seems like quite a mismatch at first glance but, upon reflection, maybe Scott London is the perfect person to be a panelist in an upcoming webcast on ethics for CPAs. London, as discussed numerous times on this site, is the former KPMG audit partner who pleaded guilty to insider trading in June 2013. Last month, London […]
By Securities Docket on May 21, 2014, 8:55 am
Get caught up with the Securities Docket News Wire for May 20, 2014.
By Securities Docket on May 21, 2014, 7:59 am
Companies that find themselves at the center of an investigation for potential violations of the Foreign Corrupt Practices Act have more to worry about than just an enforcement action. Increasingly, they must fend off shareholder class-action lawsuits based on FCPA allegations as well. via Facing an FCPA Probe? Prepare for Follow-On Litigation – Compliance Week