‘Enforcement 40’ for 2020
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By Securities Docket on July 14, 2015, 1:19 pm
In response to a lengthy list of grievances laid out by Sen. Elizabeth Warren in early June 2015, SEC Chair Mary Jo White wrote back last week in response to the senator’s specific complaints and to reiterate her pride in the agency’s accomplishments. via SEC Chair White Responds to Sen. Warren’s ‘Disappointment’ | Compliance Week.
By Securities Docket on July 14, 2015, 8:55 am
Get caught up with the Securities Docket News Wire for July 13, 2015.
By Securities Docket on July 14, 2015, 8:52 am
Instead of acting as a check on compensation and accountability, the new law increasingly looks as if it could drive up base salaries — and make executives less aligned with shareholders — or increase incentive pay to even higher levels to account for the risk of any potential clawback. “The clawback requirements as proposed could […]
By Securities Docket on July 14, 2015, 8:45 am
The SEC has stepped up its enforcement activity across the board. The agency levied more civil penalties in the first half of this fiscal year, October through March, than over any comparable period since at least 2005, according to an analysis by The Wall Street Journal of the 4,443 penalties imposed by the SEC since […]