‘Enforcement 40’ for 2020
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By Securities Docket on March 31, 2015, 4:20 pm
Regulators on the lookout for financial misreporting may have a new investigative weapon — the size of the CFO’s signature. According to a new study, finance chiefs who are narcissistic are more likely to engage in misreporting and if they have large, self-important signatures, that “predicts misreporting” through the association of signature size with narcissism. via […]
By Securities Docket on March 31, 2015, 1:25 pm
The Other Guys, Wall Street and Fletch are the three movies I can recall in which the SEC and SEC investigators play a key role. Am I missing any? via SEC in the Movies: The Other Guys, Wall Street, Fletch … What Else? | Compliance Week.
By Securities Docket on March 31, 2015, 10:00 am
Congress has taken intensified interest in how the Securities and Exchange Commission should enforce the law, introducing several legislative proposals. Although quick passage of the bills is unlikely, they signal how much interest there is, at least among Democrats, about the agency’s work. Lawmakers Focus on How S.E.C. Does Its Job – NYTimes.com
By Securities Docket on March 31, 2015, 9:56 am
The Securities and Exchange Commission said Monday that it has charged Lynn Tilton, head of Patriarch Partners, as well as Patriarch’s affiliated firms with defrauding clients out of hundreds of millions of dollars by hiding the poor performance of loan assets in three collateralized loan obligation funds. via Distressed Debt Maven Lynn Tilton Charged With […]
By Securities Docket on March 31, 2015, 8:55 am
Get caught up with the Securities Docket News Wire for March 30, 2015.
By Securities Docket on March 30, 2015, 8:03 am
The Serious Fraud Office (SFO) has been fined £180,000 after thousands of confidential documents from a high-profile bribery investigation were mistakenly sent to the wrong person. The papers, from an investigation into a BAE Systems deal, contained evidence relating to 64 people. They were wrongly sent to a witness in the case in an “astounding” […]
By Securities Docket on March 30, 2015, 7:56 am
The former chief executive officer of Direct Access Partners LLC and a managing director were each sentenced to four years in prison Friday for bribing a Venezuela state bank official in return for bond trading business. via Two Wall Streeters jailed four years for Venezuela bribes – The FCPA Blog
By Securities Docket on March 29, 2015, 8:55 am
Get caught up with the Securities Docket News Wire for March 28, 2015.
By Securities Docket on March 28, 2015, 8:55 am
Get caught up with the Securities Docket News Wire for March 27, 2015.
By Securities Docket on March 27, 2015, 2:09 pm
In a recent internal report, Citigroup’s cyberintelligence center warned employees that law firms are targets of attacks by foreign governments and hackers because they house valuable data concerning their clients’ transactions and strategies. via Citigroup: Law Firms at High Risk of Cyber-Attacks | Compliance Week