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Join the Securities Litigation and Enforcement Group on LinkedInSEC Enforcement Director: What Empowered Compliance Looks Like – Compliance Week
During a keynote speech at the Compliance Week 2014 conference, Securities and Exchange Commission Enforcement Director Andrew Ceresney provided some insight on what an empowered compliance function looks like. He also offered a four-question test that companies should ask themselves to determine the effectiveness of their compliance programs. via SEC Enforcement Director: What Empowered Compliance […]
Securities Docket News Wire for May 21, 2014
Get caught up with the Securities Docket News Wire for May 21, 2014.
Judge dismisses SEC’s fraud case against Cay Clubs timeshare operators – Orlando Sentinel
A Miami judge tossed the U.S. Securities and Exchange Commission’s case against principals of the Cay Clubs Resorts & Marinas last week, ruling that the five-year statute of limitations had expired and the SEC’s suit was filed too late. A criminal investigation of Cay Clubs is still underway. via Judge dismisses SEC’s fraud case against […]
Regulators in China crack down on insider trading — WantChinaTimes.com
Chinese regulators are using improved algorithms and a larger database to strengthen their crackdown on insider trading, according to the Chinese-language Century Weekly. via Regulators in China crack down on insider trading — WantChinaTimes.com