Daily Archives: May 22, 2014, 2:12 pm

SEC 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 Looks Like – Compliance Week.

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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 Cay Clubs timeshare operators –…

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