‘Enforcement 40’ for 2020
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By Securities Docket on October 31, 2015, 8:55 am
Get caught up with the Securities Docket News Wire for October 30, 2015.
By Securities Docket on October 30, 2015, 11:44 am
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 […]
By Securities Docket on October 30, 2015, 10:50 am
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 […]
By Securities Docket on October 30, 2015, 10:47 am
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
By Securities Docket on October 30, 2015, 10:44 am
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 […]
By Securities Docket on October 29, 2015, 8:55 am
Get caught up with the Securities Docket News Wire for October 28, 2015.
By Securities Docket on October 28, 2015, 1:19 pm
… 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
By Securities Docket on October 28, 2015, 1:14 pm
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.
By Securities Docket on October 28, 2015, 8:55 am
Get caught up with the Securities Docket News Wire for October 27, 2015.
By Securities Docket on October 27, 2015, 12:19 pm
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.