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Join the Securities Litigation and Enforcement Group on LinkedInThe Curious Incident of the ‘Life Coach’ and the Press Release | Compliance Week
The SEC loves to craft press release headlines that feature defendants’ interesting or high-profile jobs, but it missed a golden opportunity to do just that in its announcement of an insider trading case last week. via The Curious Incident of the ‘Life Coach’ and the Press Release | Compliance Week.
Securities Docket News Wire for September 29, 2015
Get caught up with the Securities Docket News Wire for September 29, 2015.
Securities Docket News Wire for September 28, 2015
Get caught up with the Securities Docket News Wire for September 28, 2015.
Arthur Levitt, Former SEC Chief, Blasts Lawmakers Who Attack Regulators – TheStreet
Levitt, who was chairman of the SEC from 1993 to 2001, said that the work of regulators “is being held to more scrutiny than I think is deserving in Washington” because members of Congress don’t see regulations as critical. Congress’s Financial Services Committee “is intended to be an oversight committee to protect investors,” he said, […]
Enforcement Discretion at the SEC by David T. Zaring :: SSRN
This article evaluates the SEC’s new ALJ policy both qualitatively and quantitatively, offering an in-depth perspective on how formal adjudication – the term for the sort of adjudication over which ALJs preside – works today. It argues that the suits challenging the SEC’s ALJ routing are without merit; agencies have almost absolute discretion as to […]
How Some Investors Get Special Access to Companies – WSJ
P&G says it is careful not to reveal market-sensitive information to investors and analysts who get special access to the company. For the past 15 years, selective disclosure by companies has been illegal under U.S. securities rules. Yet the same rules explicitly allow private meetings like those by P&G. The result is a booming back […]
Rolls-Royce faces second investigation in Brazil corruption scandal | Business | The Guardian
Rolls-Royce is facing further scrutiny over bribery allegations in Brazil after a high-level congressional commission told the Guardian it will investigate the company in connection with a sprawling corruption scandal. The beleaguered British engineering group now faces two investigations in Brazil after it admitted last month it is cooperating with investigating bodies, believed to include […]
Securities Docket News Wire for September 25, 2015
Get caught up with the Securities Docket News Wire for September 25, 2015.
SEC Trial Scorecard Update: Jury Finds for SEC in Insider Trading Case | Compliance Week
With just five days remaining in FY 2015, the SEC notched another victory at trial yesterday when a federal jury in Illinois found two men liable for insider trading in the securities of three acquisition targets. The case represented the SEC’s sixth trial verdict in federal court in FY 2015. via SEC Trial Scorecard Update: […]
Securities Docket News Wire for September 24, 2015
Get caught up with the Securities Docket News Wire for September 24, 2015.