‘Enforcement 40’ for 2020
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By Securities Docket on September 29, 2014, 9:59 am
Only the [Dodd-Frank] clawback provision remains an idea on paper but not one that has been put into practice. The provision requires SEC rulemaking. No rule proposal has yet to emerge, although the provision is on the SEC’s rulemaking agenda. via Waiting for Dodd-Frank Clawbacks — theRacetotheBottom
By Securities Docket on September 29, 2014, 9:52 am
This week, the U.S. Securities and Exchange Commission (SEC) captured headlines when it announced it is awarding a record $30 million to a whistleblower for reporting a major fraud. While I applaud the enforcement action, those of us in the risk and compliance profession are alarmed by how little we know about what must be […]
By Securities Docket on September 29, 2014, 9:48 am
One of the more unusual trials to come out of the 2008 financial crisis is set to begin on Monday, when a federal judge will consider whether the U.S. government’s rescue of American International Group Inc was, in fact, legal. via Six Years After AIG Bailout, Trial Asks: Was It Legal? – NBC News.com.