‘Enforcement 40’ for 2020
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By Securities Docket on June 8, 2015, 5:22 pm
A federal judge ruled Monday that the Securities and Exchange Commission’s appointment of an in-house judge was “likely unconstitutional.” via Federal Judge Rules SEC In-House Judge’s Appointment ‘Likely Unconstitutional’ – WSJ
By Securities Docket on June 8, 2015, 8:55 am
Get caught up with the Securities Docket News Wire for June 7, 2015.
By Securities Docket on June 8, 2015, 7:43 am
… Among other things, contrary to the suggestion in many domestic U.S. press reports, the DoJ’s massive criminal indictment does not include any charges under the Foreign Corrupt Practices Act (FCPA). However, at least according to some commentators, based on the allegations made to date, certain companies could find themselves facing FCPA-related scrutiny. via Thinking […]
By Securities Docket on June 8, 2015, 7:42 am
But it almost didn’t happen. In recent weeks, infighting at the highest level of the S.E.C. imperiled the case, one of the agency’s biggest stands against accounting fraud in a decade. And the case nearly collapsed last month after the S.E.C. missed a legal deadline for charging some of the wrongdoing, according to people briefed […]