‘Enforcement 40’ for 2020
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By Securities Docket on May 22, 2014, 2:12 pm
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 […]
Posted in SEC, Top | Tagged Compliance, Speeches
By Securities Docket on May 22, 2014, 8:55 am
Get caught up with the Securities Docket News Wire for May 21, 2014.
By Securities Docket on May 22, 2014, 7:51 am
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 […]
Posted in SEC, Top | Tagged Statute of Limitations
By Securities Docket on May 22, 2014, 7:50 am
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
Posted in Global, Top | Tagged China, Insider Trading