‘Enforcement 40’ for 2020
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By Securities Docket on April 7, 2015, 8:55 am
Get caught up with the Securities Docket News Wire for April 6, 2015.
By Securities Docket on April 7, 2015, 7:40 am
For the compliance practitioner there are several clear lessons to be drawn from this horrific scandal. Most people have somewhere heard the journalistic technique of a second source to confirm information. It was enshrined in a scene from the movie version of All The President’s Men. In any process there must be validation of said […]
By Securities Docket on April 7, 2015, 7:24 am
That’s why the best solution is to eliminate insiders. Make companies post product sales information more often—every day or even in real time. Spray investors with a fire hose of information. A great model is WisdomTree, a manager of exchange-traded funds. Every day on its investor-relations Web page, the firm posts assets under management and […]