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By Securities Docket on January 30, 2016, 8:55 am
Get caught up with the Securities Docket News Wire for January 29, 2016.
By Securities Docket on January 29, 2016, 7:07 pm
On February 3-4, “Madoff,” ABC’s miniseries on Bernard Madoff’s massive Ponzi scheme, will be aired at 8 pm Eastern. Madoff stars Richard Dreyfuss as Bernie Madoff and Blythe Danner as his wife, Ruth. via DVR Alert: ABC’s ‘Madoff’ Miniseries Airs February 3-4 | Compliance Week
By Securities Docket on January 29, 2016, 1:34 pm
Yesterday, a financial advisor who is the respondent in an SEC administrative proceeding announced that she is employing a new tactic to challenge the SEC’s controversial in-house court: refusing to attend. via Dawn Bennett Refuses to Attend ‘Kangaroo’ AP, SEC Proceeds Without Her | Compliance Week
By Securities Docket on January 29, 2016, 10:36 am
A former Fannie Mae top executive didn’t mislead investors about the mortgage giant’s exposure to subprime mortgages just before the housing bubble burst and should not face a civil trial in Manhattan, his lawyer said Wednesday. Attorney John Keker asked U.S. District Judge Paul Crotty to dismiss civil fraud charges brought four years ago against […]
By Securities Docket on January 29, 2016, 10:32 am
The acquittal of five Libor defendants is the latest blow to the Serious Fraud Office’s track record. While it has secured some high-profile sentences since its creation in the 1988, and its conviction rate last year was 78pc, a string of mis-steps has earned it a reputation as the ‘Seriously Flawed Office’ in some quarters. […]
By Securities Docket on January 28, 2016, 8:55 am
Get caught up with the Securities Docket News Wire for January 27, 2016.
By Securities Docket on January 27, 2016, 3:34 pm
A federal judge Jan. 26 ordered the SEC to pay back $21.5 million from a prior settlement with Level Global Investors Ltd. in light of a Second Circuit decision that overturned fund co-founder Anthony Chiasson’s insider trading conviction. via Insider Settlement Against Chiasson Fund Wiped Out | Bloomberg BNA
By Securities Docket on January 27, 2016, 2:45 pm
On January 11, 2016, the Securities and Exchange Commission announced the 2016 examination priorities list. For the third year in a row, cybersecurity is a top concern, especially with regard to internal security program assessment and evaluation. This year the Office of Compliance Inspections and Examinations (OCIE) will focus on cybersecurity protocols implemented by financial […]
By Securities Docket on January 27, 2016, 8:55 am
Get caught up with the Securities Docket News Wire for January 26, 2016.
By Securities Docket on January 26, 2016, 12:37 pm
Watching developments in the Level Global insider trading case — which fell apart after the Second Circuit’s landmark decision in Newman resulted in the conviction of its co-founder and another defendant being overturned — feels like watching a movie rewind. via Level Global Case Continues to Rewind | Compliance Week