‘Enforcement 40’ for 2020
Join Us On LinkedIn
Join the Securities Litigation and Enforcement Group on LinkedIn
You are browsing the site archives by date.
By Securities Docket on February 29, 2016, 12:53 pm
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 […]
By Securities Docket on February 28, 2016, 8:55 am
Get caught up with the Securities Docket News Wire for February 27, 2016.
By Securities Docket on February 27, 2016, 8:55 am
Get caught up with the Securities Docket News Wire for February 26, 2016.
By Securities Docket on February 26, 2016, 7:38 pm
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 […]
By Securities Docket on February 26, 2016, 1:08 pm
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
By Securities Docket on February 26, 2016, 8:57 am
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 […]
By Securities Docket on February 26, 2016, 8:56 am
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
By Securities Docket on February 26, 2016, 8:55 am
Get caught up with the Securities Docket News Wire for February 25, 2016.
By Securities Docket on February 25, 2016, 5:35 pm
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. […]
By Securities Docket on February 25, 2016, 11:36 am
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 […]