‘Enforcement 40’ for 2020
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By Securities Docket on January 6, 2015, 10:53 am
Some companies that fear Dodd-Frank whistleblower programs are aggressively trying to squash potential tips to the SEC through a practice the agency has dubbed “pre-taliation.” via SEC Fights ‘Pre-taliation’ Against Dodd-Frank Whistleblowers | Compliance Week.
By Securities Docket on January 6, 2015, 8:55 am
Get caught up with the Securities Docket News Wire for January 5, 2015.
By Securities Docket on January 6, 2015, 8:17 am
Foreign Corrupt Practices Act enforcement, it is not just about the DOJ. Granted, as a civil enforcement agency its sticks are less sharp than the DOJ’s, but the SEC also claims a significant piece of the FCPA enforcement pie (query whether it should – but that is a subject for another day – for instance […]
By Securities Docket on January 6, 2015, 8:15 am
The year just ended was an eventful one in the world of directors’ and officers’ liability. Many of the year’s key events represented significant changes in the D&O liability environment. Many of the changes during 2014 have important implications for 2015 – and possibly for years to come. The list of the Top Ten D&O […]
By Securities Docket on January 6, 2015, 7:34 am
In her complaint, filed late on Friday, Assisted Living Concepts Inc former Chief Executive Laurie Bebo alleges that the Securities and Exchange Commission, by filing charges against her in its in-house court instead of a federal court, chose a legal venue that greatly disadvantages her defense and gives her little time to review 1.5 million […]