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By Securities Docket on September 17, 2014, 4:49 pm
Is an insider trading conviction from January 2003 “irrelevant?” In the U.K., the answer appears to be that it is–at least for purposes of the EU’s new “Right to be Forgotten” directive. via Is a Decade-Old Insider Trading Conviction ‘Irrelevant?’ | Compliance Week
By Securities Docket on September 17, 2014, 3:15 pm
A new survey of chief compliance officers found that 38 percent of those with overall program responsibility report directly to their company’s CEO, while just 18 percent report to the general counsel or chief legal officer. via Chief compliance officers are saying so long to the general counsel – The FCPA Blog – The FCPA Blog
By Securities Docket on September 17, 2014, 11:20 am
Latest insider trading case against a law firm IT professional is a reminder that law firms’ cybersecurity measures must account for more than simply the lawyers and staff that are working on its cases and deals. via Heads Up, Law Firms! Another IT Professional Charged With Insider Trading | Compliance Week
By Securities Docket on September 17, 2014, 9:23 am
Many companies provide advancement, indemnification and insurance benefits and protection for their officers and directors. However, it is not always clear who is an “officer” for purposes of claiming the benefits and protection. The long-running and high-profile saga of Sergey Aleynikov, the former Goldman Sachs computer programmer and company Vice President accused of stealing proprietary […]
By Securities Docket on September 17, 2014, 8:55 am
Get caught up with the Securities Docket News Wire for September 16, 2014.