‘Enforcement 40’ for 2020
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By Securities Docket on April 30, 2015, 6:18 pm
This week, a UK man recently released from prison after serving most of his sentence for insider trading found himself back in prison for failing to satisfy almost half of a £465,000 confiscation order. via UK Insider Trader Returned to Prison For Failure to Repay Illegal Profits | Compliance Week
By Securities Docket on April 30, 2015, 4:19 pm
So what is the role of a board of directors amid all of this complex and bet-the-company workflow? Corporate directors clearly have a fiduciary duty to understand and oversee cybersecurity, but there is no need for board members (many of whom have limited IT experience) to panic. Below we compile a list of ten cybersecurity […]
By Securities Docket on April 30, 2015, 8:55 am
Get caught up with the Securities Docket News Wire for April 29, 2015.
By Securities Docket on April 29, 2015, 12:56 pm
This week, a data services company called Selerity used an automated system and some very aggressive digging to obtain early — and highly lucrative — information about Twitter’s earnings. via Selerity Strikes Gold with Early Look at Twitter Earnings Release | Compliance Weetrader
By Securities Docket on April 29, 2015, 8:55 am
Get caught up with the Securities Docket News Wire for April 28, 2015.
By Securities Docket on April 29, 2015, 8:37 am
In June 2014, the Securities and Exchange Commission charged an Albany, N.Y.-based hedge fund advisory firm, Paradigm Capital Management, with engaging in prohibited principal transactions and then retaliating against the employee who reported the trading activity to the Commission…. On Tuesday, the SEC announced that the whistleblower will receive a maximum whistleblower award payment of […]
By Securities Docket on April 28, 2015, 1:01 pm
An unrepentant David Riley, the former Silicon Valley executive convicted in October of leaking information about a 2008 acquisition, was sentenced on Monday to 6 ¹/? years in prison. via CIO convicted of insider trading gets six years in jail | New York Post
By Securities Docket on April 28, 2015, 8:55 am
Get caught up with the Securities Docket News Wire for April 27, 2015.
By Securities Docket on April 27, 2015, 3:47 pm
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By Securities Docket on April 27, 2015, 7:38 am
The former CIO of the Wyoming Retirement System was sentenced Thursday to supervised release and community service for his involvement in an insider trading scheme. via Ex-Wyoming Pension CIO Avoids Jail Time for Insider Trading — Chief Investment Officer