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‘Enforcement 40’ for 2020
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Join the Securities Litigation and Enforcement Group on LinkedInSecond Court Dismisses Constitutional Challenge to SEC’s Use of APs | Compliance Week
Last week, a second federal court ruled that it lacked subject matter jurisdiction to decide claims that the SEC’s use of administrative proceedings is unconstitutional. The court made its ruling after specifically stating that it found the plaintiff’s attack on APs to be both “compelling and meritorious.” via Second Court Dismisses Constitutional Challenge to SEC’s […]
Whistleblowing: What Difference Does it Make? | The D&O Diary
In recent years, one of the favored responses of legislative reformers and regulatory enforcement authorities to financial fraud and other corporate misconduct has been the encouragement of whistleblowing activity. Both the Sarbanes-Oxley and the Dodd-Frank Act contained elaborate provisions designed to encourage and even to reward whistleblowers. There seems to be no question that the […]
Firms oppose SEC’s internal enforcement process – Pensions & Investments
As the SEC’s enforcement division moves more cases through its internal administrative court process, some of the financial firms on the receiving end of those judgments are fighting back with their own court challenges, raising broader questions about due process. via Firms oppose SEC’s internal enforcement process – Pensions & Investments