‘Enforcement 40’ for 2020
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By Securities Docket on October 27, 2014, 12:43 pm
In October 2013, Mary Jo White, the Securities and Exchange Commission chairwoman, spoke at the Securities Enforcement Forum about a new approach based on the “broken windows” theory of enforcement in which the police pursue minor infractions to send a message about compliance with the law. “We are looking for the ‘broken windows’ in our […]
By Securities Docket on October 27, 2014, 8:55 am
Get caught up with the Securities Docket News Wire for October 26, 2014.
By Securities Docket on October 27, 2014, 7:31 am
Anyway, I thought that until I read this quote from Rajaratnam’s lawyer, Daniel Gitner: “The S.E.C. elected to offer, and Rengan elected to accept, a no admit/no deny settlement. Rengan is moving on to the next phase of his life. If the S.E.C. has further comment, so will we.” Gitner was right to make this […]