‘Enforcement 40’ for 2020
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By Securities Docket on October 1, 2014, 4:30 pm
The latest study on the “revolving door” finds that future career prospects motivate SEC enforcement lawyers to be more aggressive during their time at the SEC, not less. via Yet Another Study Debunks ‘Revolving Door’ Worries | Compliance Week
By Securities Docket on October 1, 2014, 10:39 am
Investors are joining forces to sue Britain’s biggest retail bank Lloyds and five former executives, alleging they were misled over an ill-fated deal in 2008 they say wiped £6 billion off the total value of shares. Their claim names Lloyds’ former chairman Victor Blank, former chief executive Eric Daniels, ex-finance boss Timothy Tookey, ex-retail banking […]
By Securities Docket on October 1, 2014, 10:34 am
During the third calendar quarter, there was one corporate settlement of an FCPA enforcement action and two individual resolutions. The third quarter last year was less active, with no corporate resolutions. via Enforcement report for Q3 2014 – The FCPA Blog
By Securities Docket on October 1, 2014, 8:55 am
Get caught up with the Securities Docket News Wire for September 30, 2014.