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Executive Beware: The SEC Now Wants To Police Unethical Corporate Conduct — Forbes

By on June 26, 2014, 4:00 pm

Big violations are easy to define and the bad actors most always know they are engaging in wrongdoing, but what constitutes a small violation worthy of the costs and ramifications of a federal civil prosecution?  Where will the SEC draw that blurry line between conduct that is unlawful versus merely unethical?  Or, in the eyes […]

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SDNY Criminal Division Chief Lorin Reisner Returning to Private Sector – Compliance Week

By on June 26, 2014, 9:33 am

Lorin L. Reisner, chief of the criminal division of the U.S. Attorney’s Office for the Southern District of New York, announced yesterday that he is leaving government service for the private sector next month. Reisner is expected to join a law firm, the NYT reports, but Reisner did not identify which firm he may be […]

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Securities Docket News Wire for June 25, 2014

By on June 26, 2014, 8:55 am

Get caught up with the Securities Docket News Wire for June 25, 2014.

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SEC Is Gearing Up to Focus on Ratings Firms – WSJ

By on June 26, 2014, 8:19 am

The government’s top credit-rating watchdog has kept a low profile since taking the job two years ago to help prevent another financial crisis. That may be about to change. Thomas J. Butler, head of the Securities and Exchange Commission’s Office of Credit Ratings, said he has referred multiple cases to the agency’s enforcement division and […]

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UK: Former Schroders trader charged with insider dealing — Funds Europe

By on June 26, 2014, 8:14 am

The Financial Conduct Authority has charged former equities trader at Schroders Investment Management Damian Frank Clarke with nine counts of insider dealing. Schroders says Clarke was dismissed in Feburary last year for “gross misconduct.” via Former Schroders trader charged with insider dealing  — Funds Europe

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