‘Enforcement 40’ for 2020
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Join the Securities Litigation and Enforcement Group on LinkedInSecurities Docket News Wire for October 30, 2015
Get caught up with the Securities Docket News Wire for October 30, 2015.
Corporate Prosecutors and Their Invisible Chains | The Harvard Law Record
What this means is that your incentives are to take cases that are high-profile one-offs. Find the discrete cases. Let’s say you have to choose between investigating possible manipulation of derivatives contracts at all major investment banks and an insider trading case against the manager of a big hedge fund. Your chief will say: Both […]
Bharara brushes off reports of insider trading ruling’s damage | POLITICO
Bharara said news reports calling this a major setback amounted to modern “yellow journalism” and belied the nature of his office’s work in prosecuting cases based on the state of the law. “If Congress tomorrow adopted The Wall Street Journal editorial page’s view that insider trading is awesome — which appears to be their view […]
Nothing to Fear From the SEC? – WSJ
Directors are now preoccupied with regulatory compliance at the expense of time spent growing their companies. That’s bad for business, and bad for the U.S. economy. via Nothing to Fear From the SEC? – WSJ
Will shift in insider trading spell a comeback for Steve Cohen? – Chicago Tribune
If Martoma prevails, the SEC’s already weakened stance against Cohen would get even weaker. Much is at stake for the billionaire: financial penalties, of course, and more important, a possible lengthy ban from the industry. For now, Cohen has retreated from managing outside money after SAC was shut down in a plea deal with the […]
Securities Docket News Wire for October 28, 2015
Get caught up with the Securities Docket News Wire for October 28, 2015.
Making Insider Trading Legal – The New Yorker
… But the truth is that if you operate a hedge fund and care to structure your business around the gaping loopholes that the Supreme Court has implicitly endorsed, insider trading is now effectively legal in the United States. via Making Insider Trading Legal – The New Yorker
SEC’s Financial Reporting Cases, Overall Activity Surge in FY 2015 | Compliance Week
The SEC’s newly-released FY 2015 enforcement results show a surge in total enforcement actions filed, as well as a notable increase in actions related to financial reporting and audit fraud. via SEC’s Financial Reporting Cases, Overall Activity Surge in FY 2015 | Compliance Week.
Securities Docket News Wire for October 27, 2015
Get caught up with the Securities Docket News Wire for October 27, 2015.
New Database Tracks SEC Enforcement Actions Against Public Cos. | Compliance Week
A new, publicly-available database known as “SEED” tracks SEC enforcement actions against public companies. The database, from NYU and Cornerstone Research, will also provide the basis for ongoing academic analysis of trends in SEC enforcement. via New Database Tracks SEC Enforcement Actions Against Public Cos. | Compliance Week.