‘Enforcement 40’ for 2020
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By Securities Docket on August 20, 2014, 12:46 pm
The SEC is watching you, Oakley Country Club! For the second time in two months, the SEC brought an insider trading case against individuals who shared insider information about upcoming acquisitions with their golfing buddies from Oakley Country Club in Watertown, Mass. via The SEC is Watching You, Oakley Country Club! | Compliance Week.
By Securities Docket on August 20, 2014, 11:43 am
As the Securities and Exchange Commission’s Office of the Whistleblower continues to gain traction in its third full year in operation, two important questions about the ability to protect whistleblowers have surfaced: (1) the extent to which whistleblowers’ identities can actually be protected; and (2) the circumstances in which whistleblowers can claim they have been […]