‘Enforcement 40’ for 2020
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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 […]