‘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 […]