‘Enforcement 40’ for 2020
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By Securities Docket on October 30, 2014, 12:34 pm
A shoebox full of cash, prepaid “burner” cell phones, and dummy email accounts failed to prevent the SEC from uncovering and filing its latest insider trading case, the agency announced last week. via SEC Charges Two Friends With ‘Audacious’ Insider Trading Scheme | Compliance Week.
By Securities Docket on October 30, 2014, 8:55 am
Get caught up with the Securities Docket News Wire for October 29, 2014.
By Securities Docket on October 30, 2014, 8:29 am
Wall Street’s industry funded watchdog plans to intensify its scrutiny of cybersecurity practices at brokerage firms in 2015 and is hiring technology savvy examiners to help boost its efforts, an official said on Wednesday. via Wall St watchdog to bolster reviews of brokerage cybersecurity | Reuters
By Securities Docket on October 30, 2014, 7:53 am
The Stilwell and Peixoto complaints represent widely-shared skepticism about the constitutionality of the SEC’s administrative proceedings and, pending resolution of the issue by the appellate courts or the Supreme Court itself, the SEC may now find itself routinely having to justify the constitutionality of its in-house courts before district court judges. via There’s No Place […]
By Securities Docket on October 30, 2014, 7:49 am
Whistleblowers provide valuable information to regulators in corporate fraud enforcement cases but the benefits of their involvement come at a cost of prolonged enforcement efforts, new research concludes. via Whistleblower Complaints Lead to Stiffer Penalties – CFO