‘Enforcement 40’ for 2020
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By Securities Docket on October 29, 2014, 8:44 am
Levitt, who is the SEC’s longest serving chairman, will work with payment processor BitPay and institutional exchange Vaurum to help “monitor business practices” and develop ways to market the new currency. via Former SEC chairman Levitt becomes advisor to bitcoin firms — Finextra
By Securities Docket on October 29, 2014, 8:25 am
I have consistently tried to bring a ‘Nuts and Bolts’ approach to my writing about compliance. Last year when describing some of my writing on the building blocks of a Foreign Corrupt Practices Act (FCPA) compliance program to my friend Mary Flood, she said “That’s great but what about actually doing compliance?” … Her idea […]
By Securities Docket on October 28, 2014, 11:20 am
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Posted in Class Actions
By Securities Docket on October 28, 2014, 8:55 am
Get caught up with the Securities Docket News Wire for October 27, 2014.
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 […]
By Securities Docket on October 26, 2014, 11:21 am
Latham & Watkins partner Patrick Gibbs’ journey to winning one of the biggest U.S. insider-trading cases to go to trial began with an email out of the blue. The message came in 2009 from an in-house lawyer at sTec Inc. The Santa Ana, Calif., digital storage company was under the investigation by the U.S. Securities […]
By Securities Docket on October 26, 2014, 11:12 am
Now three of Rakoff’s colleagues in the Southern District of New York—U.S. District Judges Katherine Forrest, Lewis Kaplan and William Pauley III—have the chance to reject or expand on Rakoff’s reasoning. Since March a string of defendants has taken aim at the SEC’s administrative proceedings in federal court, echoing Gupta’s challenge and attacking the constitutionality […]
By Securities Docket on October 26, 2014, 11:05 am
Prosecutors gathering evidence into whether congressional staff helped tip Wall Street traders to a change in health-care policy have hit a snag: a sluggish court system. A Securities and Exchange Commission attorney said Friday that delays by the U.S. District Court for the Southern District of New York have “impeded” its investigation. via SEC Says […]