‘Enforcement 40’ for 2020
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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 […]