‘Enforcement 40’ for 2020
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By Securities Docket on December 1, 2014, 12:49 pm
Cybersecurity firm FireEye Inc. released a report today stating that it is currently tracking a group of hackers that has targeted the email accounts of individuals with access to the most confidential information of more than 100 companies. via ‘FIN4’ Hackers Target Over 100 Companies Seeking Market-Moving Information | Compliance Week.
By Securities Docket on December 1, 2014, 9:59 am
General counsel of companies undergoing international expansion are finding implementation of global ethics and compliance programs presents an array of challenges that law firms and compliance consulting firms can’t always solve. via GCs Find Rolling Out Global Compliance Programs Tricky | The Legal Intelligencer
By Securities Docket on December 1, 2014, 8:55 am
Get caught up with the Securities Docket News Wire for November 30, 2014.
By Securities Docket on December 1, 2014, 8:13 am
Companies selling marijuana products and spinoff businesses associated with its distribution have tapped the public stock markets. They provide an easy target for fraudsters looking to convince gullible investors there is gold in weed. “Right now, the flavor of the day is marijuana,” said Thomas Sporkin, who spent 20 years at the Securities and Exchange […]
By Securities Docket on December 1, 2014, 7:49 am
Press releases are par for the course when the Securities and Exchange Commission files a case in federal court that it must later prove to a judge or jury. But the agency is increasingly shunting cases into its own administrative proceedings, where it initiates the prosecution and ultimately decides guilt or innocence—along with the severity […]