‘Enforcement 40’ for 2020
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By Securities Docket on August 26, 2015, 10:23 am
An unusual insider trading prosecution brought under a provision of SOX (rather than Section 10(b) of the Exchange Act) suggests that prosecutors are seeking a “Plan B” in the wake of the Second Circuit’s disruptive decision in U.S. v. Newman. via Plan B? Feds Pursue Insider Trading Charges Under SOX Provision | Compliance Week.
By Securities Docket on August 26, 2015, 8:55 am
Get caught up with the Securities Docket News Wire for August 25, 2015.
By Securities Docket on August 26, 2015, 8:39 am
In other words, the underlying activity is legal and socially acceptable in most situations. In fact, it is often called effective sales and marketing, wining and dining the customer, or maintaining good will. Yet when such activity is focused, directly or indirectly, on a “foreign official” the U.S. government is inclined to call it bribery. […]
By Securities Docket on August 26, 2015, 8:37 am
A federal appeals court on Monday handed the U.S. Securities and Exchange Commission a victory in its use of in-house enforcement proceedings, rejecting a challenge by a former chief executive of Assisted Living Concepts Inc. The 7th U.S. Circuit Court of Appeals in Chicago agreed with U.S. District Judge Rudolph Randa in Milwaukee that it […]
By Securities Docket on August 26, 2015, 8:36 am
A San Francisco investment banking analyst and two of his friends were arrested Tuesday morning for acquiring more than $600,000 on the stock market in an insider trading scheme, U.S. Justice Department officials said. via San Francisco Banking Analyst, 2 Others Arrested In Alleged Insider Trading Scheme « CBS San Francisco