‘Enforcement 40’ for 2020
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By Securities Docket on August 31, 2015, 9:22 am
The three fundamental problems with SEC enforcement are that the Commission and the Division of Enforcement (1) advance legal theories that are outside settled boundaries, (2) misunderstand or mischaracterize the factual record, and (3) fail to accord fair and impartial treatment to persons being investigated. The result is an unacceptably high number of cases that […]
By Securities Docket on August 31, 2015, 9:17 am
Chinese state media announced a slew of confessions on Monday following investigations into recent stock market gyrations, including from a detained reporter who admitted to spreading false information that caused “panic and disorder”. An official from China’s securities regulator had confessed to insider trading while four senior executives from China’s largest brokerage, CITIC Securities , […]