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Join the Securities Litigation and Enforcement Group on LinkedInSEC Awards $400,000 to Whistleblower After Company Fails to Address Internal Reports of Fraud | Compliance Week
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
Hedge Funds and Material Nonpublic Information — The Harvard Law School Forum on Corp. Gov. and Financial Regulation
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. […]
Securities Docket News Wire for July 30, 2014
Get caught up with the Securities Docket News Wire for July 30, 2014.
Stacking the Deck: SEC’s Use of Administrative Proceedings | Corruption, Crime & Compliance
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
Seeking Nominations for Securities Docket’s Inaugural ‘Enforcement Hall of Fame’ Class
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.
Securities Docket News Wire for July 29, 2014
Get caught up with the Securities Docket News Wire for July 29, 2014.
FOIA Response Sheds Light on Backgrounds of SEC Whistleblowers | Compliance Week
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 […]
Regulator Wants Monitors in Deutsche Bank, Barclays U.S. Offices as Part of FX Probe – WSJ
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 […]
Securities Docket News Wire for July 28, 2014
Get caught up with the Securities Docket News Wire for July 28, 2014.
Elizabeth Sacksteder Joins Paul, Weiss in New York
Citigroup’s Deputy General Counsel Liz Sacksteder joins Paul, Weiss in New York.