‘Enforcement 40’ for 2020
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Join the Securities Litigation and Enforcement Group on LinkedInStanford Law rolls out ‘Foreign Corrupt Practices Act Clearinghouse’ | Compliance Week
Stanford Law School announced earlier this month that it has teamed up with law firm Sullivan & Cromwell to launch the new Foreign Corrupt Practices Act Clearinghouse. The FCPA Clearinghouse is a free, public resource that provides a comprehensive, searchable, and very useful database of enforcement actions and information related to the FCPA. via Stanford Law rolls […]
Securities Docket News Wire for February 27, 2016
Get caught up with the Securities Docket News Wire for February 27, 2016.
Securities Docket News Wire for February 26, 2016
Get caught up with the Securities Docket News Wire for February 26, 2016.
SEC asks jurors to find New York brokers liable for insider trading | Reuters
The U.S. Securities and Exchange Commission urged jurors on Friday to hold two former New York stockbrokers liable for insider trading, in a test of its ability to pursue such cases after an appellate court’s ruling reshaped the law. At the close of a trial in Manhattan federal court, an SEC lawyer urged jurors to […]
A closer look at the SEC’s ‘Analysis and Detection Center’ | Compliance Week
Recent comments by an SEC official about five insider trading cases generated from the Enforcement Division’s “Analysis and Detection Center” over the last year generated some questions in the blogosphere. Now Enforcement Action has some answers! via A closer look at the SEC’s ‘Analysis and Detection Center’ | Compliance Week
Prosecutorial Bent Shows in SEC Accounting-Fraud Push, Ex-Official Says – Law Blog – WSJ
SEC Chairman Mary Jo White began her tenure in 2013 with a promise to refocus the agency on investigating financial-reporting and disclosure problems, after years dominated by financial-crisis cases. The push has led to a steady increase in those types of cases: 134 in the year ended in September, up from 98 the previous year […]
SEC director says assuming 10% of advisers are reviewed each year is wrong — Investment News
The SEC’s head of inspections cautioned an audience of compliance professionals not to misread the 10% annual examination rate for investment advisers. He said that doesn’t mean the Securities and Exchange Commission only reviews 10% of advisers every year. via SEC director says assuming 10% of advisers are reviewed each year is wrong — Investment News
Securities Docket News Wire for February 25, 2016
Get caught up with the Securities Docket News Wire for February 25, 2016.
Vanguard Says Sending 71 Account E-Mails to Wrong Investor Was ‘Isolated Matter’ – TheStreet
Experts on Internet security say it’s a troubling error. “It certainly raises questions as to whether they are properly safeguarding customers’ information,” said John Reed Stark, a Maryland-based consultant who is former chief of the SEC’s Office of Internet Enforcement. “The SEC has made it clear that protecting customer information is a priority,” Stark said. […]
Former Sarclad employees charged with bribery and corruption – Serious Fraud Office
Michael Sorby, former Director and Adrian Leek, former Sales Manager, of Sarclad Limited, appeared before Westminster Magistrates’ Court today, charged with bribery and corruption offences. Michael John Sorby, 72 and Adrian Firmin Leek, 39, of Sheffield, were both charged with one count of conspiracy to corrupt, contrary to section 1 Prevention of Corruption Act 1906 […]