Daily Archives: November 7, 2015, 2:27 pm

SEC, DOJ Pursue Scottish Trader for ‘False Tweets’ | Compliance Week

Market manipulation is nothing new, of course, but both the SEC and DOJ pursued a social media-age method of illegally moving the market last week when they brought securities fraud charges against a Scottish trader whose allegedly used “false tweets” to caused the stock prices of two companies to plunge. via SEC, DOJ Pursue Scottish Trader for ‘False Tweets’ | Compliance…

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Caldwell Explains New Compliance Officer Counsel | Compliance Week

During remarks at the Securities Industry and Financial Markets Association Compliance and Legal Society New York Regional Seminar, Leslie Caldwell, assistant attorney general for the Justice Department’s Criminal Division, offered some insight about the newly established compliance counsel and what metrics the compliance counsel will use to assess compliance programs. via Caldwell Explains New Compliance Officer Counsel | Compliance Week

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