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Join the Securities Litigation and Enforcement Group on LinkedInSen. Warren is Triply ‘Disappointed’ in SEC Chair White | Compliance Week
Sen. Elizabeth Warren would like SEC Chair Mary Jo White to know that Sen. Warren is disappointed in her. In a 13-page letter this week, Sen. Warren expressed this very sentiment repeatedly, prompting Chair White and others to defend her leadership of the agency and its accomplishments. via Sen. Warren is Triply ‘Disappointed’ in SEC […]
ASIC wants to prosecute executives for ‘bad culture’ | afr.com
Mr Medcraft said ASIC was planning a “major campaign” on culture this year. “We intend to: first, incorporate culture into our risk-based surveillance reviews; second, use the surveillance findings to better understand how culture is driving conduct among those we regulate; and third, communicate to industry and firms where we have a problem with their culture and conduct.” “We will […]
How to Rein In the SEC – WSJ
The Supreme Court has, for nearly 40 years, authorized federal agencies to use administrative proceedings to pursue enforcement cases. But the agencies must use that power in judicious ways. The SEC’s approach to administrative proceedings leaves something to be desired. It isn’t too late to fix that. via How to Rein In the SEC – […]
SFO loss: UK defendants acquitted for Nigeria payments – The FCPA Blog
Three employees of Swift Technical Solutions Ltd were found not guilty at Southwark Crown Court in London of corruption offenses related to the tax affairs of a Nigerian subsidiary, the SFO said Tuesday. via SFO loss: UK defendants acquitted for Nigeria payments – The FCPA Blog
Elizabeth Warren rips SEC chief Mary Jo White as soft on Wall Street – POLITICO
Wall Street and the White House had a swift and furious reaction to Elizabeth Warren’s blazing attack on Securities and Exchange Commission Chair Mary Jo White: Senator, you’ve gone too far. Defenders of White’s tenure at the regulatory agency said Warren’s 13-page letter attacking the SEC chair raised highly questionable points and badly mischaracterized the […]
Securities Docket News Wire for June 2, 2015
Get caught up with the Securities Docket News Wire for June 2, 2015.