‘Enforcement 40’ for 2020
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By Securities Docket on November 18, 2014, 10:06 am
In case there was any ambiguity that companies may not send foreign government officials on a “world tour” in order to secure business, the SEC made that clear yesterday when it sanctioned two former employees of FLIR Systems Inc. for FCPA violations. via SEC: Sending Saudi Officials on ‘World Tour’ Was FCPA Violation | Compliance […]
By Securities Docket on November 18, 2014, 8:55 am
Get caught up with the Securities Docket News Wire for November 17, 2014.
By Securities Docket on November 18, 2014, 8:52 am
A Brazilian judge on Monday denied a request by businessman Eike Batista to suspend legal action for alleged insider trading and market manipulation, clearing the way for a highly anticipated trial to begin Tuesday. via Eike Batista’s Trial to Begin Tuesday – NASDAQ.com
By Securities Docket on November 18, 2014, 8:49 am
Billionaire Steven A. Cohen can face questions about insider trading at his hedge fund SAC Capital Advisors from lawyers representing his ex-wife in a civil lawsuit against him, a U.S. judge said on Monday. via Steven Cohen’s ex-wife can ask about insider trading: Judge — Reuters
By Securities Docket on November 18, 2014, 8:48 am
Irving Picard , the court-appointed official tracking down funds stolen in the largest Ponzi scheme ever, on Monday announced that two investment funds—Herald Fund SPC and Primeo Fund—have agreed to return $497 million they received by investing with Mr. Madoff. via Madoff Trustee Strikes $497 Million Settlement With Investors – WSJ