Monthly Archives: February 2015

SEC Probes Companies’ Treatment of Whistleblowers – WSJ

In recent weeks the agency has sent letters to a number of companies asking for years of nondisclosure agreements, employment contracts and other documents, according to people familiar with the matter and an agency letter viewed by The Wall Street Journal. The inquiries come as SEC officials have expressed concern about a possible corporate backlash against whistleblowers. via SEC Probes…

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SEC Enforcement Chief: Reporting Suspicious Activity ‘Not Optional’ for BDs — ThinkAdvisor

Securities and Exchange Commission Enforcement Chief Andrew Ceresney told broker-dealers Wednesday that compliance with the Bank Secrecy Act “is not optional,” and that a BD’s failure to file a required suspicious activity report (SAR) “is, by itself, a basis for enforcement action.” via SEC Enforcement Chief: Reporting Suspicious Activity ‘Not Optional’ for BDs — ThinkAdvisor

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Batista Insider Trading Case in ‘Turmoil’ After Judge Seen Driving Seized Porsche | Compliance Week

Yesterday, the landmark Eike Batista insider trading trial in Brazil was “thrown into turmoil” when reporters spotted the judge in the case driving Batista’s white Porsche Cayenne that had been previously seized by authorities along with several other luxury vehicles belonging to Batista. via Batista Insider Trading Case in ‘Turmoil’ After Judge Seen Driving Seized Porsche | Compliance Week.

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