‘Enforcement 40’ for 2020
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By Securities Docket on July 31, 2014, 3:47 pm
Today, the SEC announced a whistleblower award that may, for two reasons, resonate with potential tipsters and companies that might be reluctant to take decisive action to look into fraud that is reported internally. via SEC Awards $400,000 to Whistleblower After Company Fails to Address Internal Reports of Fraud | Compliance Week
By Securities Docket on July 31, 2014, 9:48 am
We discuss below what remote tippees, which may involve hedge funds and other investment firms that are often several steps removed from the original source of the information, would need to know for liability to arise. Along the way, we touch on the other elements relevant to liability as well—fraud, duty, breach, and personal benefit. […]
By Securities Docket on July 31, 2014, 8:55 am
Get caught up with the Securities Docket News Wire for July 30, 2014.
By Securities Docket on July 30, 2014, 2:45 pm
The SEC has a real perception problem. They cannot win in court. Whether this is fair or not, the SEC needs to move beyond this fear of losing since it only undermines the integrity of its enforcement program. via Stacking the Deck: SEC’s Use of Administrative Proceedings | Corruption, Crime & Compliance
By Securities Docket on July 30, 2014, 9:24 am
Securities Docket welcomes your nominations for our inaugural “Enforcement Hall of Fame” class – for extraordinary contributions to the field of securities enforcement over a lifetime.
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By Securities Docket on July 30, 2014, 8:55 am
Get caught up with the Securities Docket News Wire for July 29, 2014.
By Securities Docket on July 29, 2014, 3:56 pm
Since mid-2011, the SEC’s Office of the Whistleblower has been taking in tips about alleged securities fraud. Via a recent request made under the Freedom of Information Act, the WSJ set out to answer an interesting question: from what fields and professions do these whistleblowers come from? Based on the 3,600 whistleblowers to date who listed […]
By Securities Docket on July 29, 2014, 3:06 pm
New York’s banking regulator is pushing to install government monitors inside the U.S. offices of Deutsche Bank and Barclays PLC as part of an intensifying investigation into possible manipulation in the foreign-exchange market, according to people familiar with the probe. via Regulator Wants Monitors in Deutsche Bank, Barclays U.S. Offices as Part of FX Probe […]
By Securities Docket on July 29, 2014, 8:55 am
Get caught up with the Securities Docket News Wire for July 28, 2014.
By Securities Docket on July 28, 2014, 1:11 pm
Citigroup’s Deputy General Counsel Liz Sacksteder joins Paul, Weiss in New York.