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Join the Securities Litigation and Enforcement Group on LinkedIn2016 SEC Trial Scorecard Update: Agency Remains Undefeated After Two Trials | Compliance Week
In the SEC’s second federal court trial to reach a verdict in FY 2016, a federal jury in Pennsylvania found in favor of the SEC. The jury found Nan Huang, a former data analyst at Capital One, liable for engaging in a creative insider trading scheme that involved searching a company data base to learn […]
Serious Fraud Office requests ‘blockbuster’ funding — Law Society Gazette
The Serious Fraud Office (SFO) has asked the Treasury for extra funding amounting to 60% of its budget to pay for major investigations. via Serious Fraud Office requests ‘blockbuster’ funding — Law Society Gazette
From Bad to Worse — and Finally to Prison — for Apple Day-Trader Sued by SEC | Compliance Week
I always try to warn people not to get themselves thrown in prison by obstructing justice in SEC investigations. No really, I do! They just don’t listen. via From Bad to Worse — and Finally to Prison — for Apple Day-Trader Sued by SEC | Compliance Week
Brooke Hopkins: But is your compliance program scalable? – The FCPA Blog
Translation: Anti-corruption compliance program need to find and respond not only to known risks, but also unforeseen and emerging risks. That means a program needs built-in flexibility to meet the challenges of new markets and unexpected exposure, including varying regulatory requirements from one jurisdiction to the next. In other words, compliance can’t be bottled up […]
Securities Docket News Wire for January 13, 2016
Get caught up with the Securities Docket News Wire for January 13, 2016.