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‘Enforcement 40’ for 2020
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Join the Securities Litigation and Enforcement Group on LinkedInFor the SEC’s In-House Court, a Question of Justice for All – Bloomberg Business
To the top cop on Wall Street, it’s a powerful court of justice. To the accused it can seem like something darker: a parallel American judiciary, separate and unequal, that strains the highest laws of the land. After decades in the shadows, the in-house court system of the U.S. Securities and Exchange Commission — a […]
A Win for Compliance Officers – Compliance Building
Judy Wolf did a bad thing. During an insider trading investigation she fudged some documents. The Securities and Exchange Commission investigated the insider trading matter and Ms. Wolf’s log of her review. The fudging was discovered. She was fired and the SEC brought an enforcement against her. There is some good news from that bad […]
Government agencies turning up the heat on fees – Pensions & Investments
Securities and Exchange Commission officials are telling private equity and hedge fund managers to prepare for more enforcement cases involving undisclosed fees and misallocated expenses. via Government agencies turning up the heat on fees – Pensions & Investments
On the Defensive, the S.E.C. Quietly Pursues High-Profile Cases – The New York Times
Coming out ahead on any of these fronts would be a boon for the agency, but for the moment the S.E.C. finds itself on the defensive…. Many within the S.E.C. have expressed frustration at what they see as a one-sided look at the agency’s track record. Addressing the critics, Andrew J. Ceresney, the director of […]