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Join the Securities Litigation and Enforcement Group on LinkedInSEC dusts off Reg AC to charge former Deutsche Bank analyst | Compliance Week
Today, the SEC announced that it has filed a settled administrative proceeding against Charles P. Grom, a former Deutsche Bank research analyst, for allegedly certifying a rating on a stock that was inconsistent with his personal view. The SEC alleged that Grom’s conduct violated the analyst certification requirement of Regulation Analyst Certification (“Reg AC”). via SEC dusts off Reg AC […]
SEC Inspector General Report Finds No Evidence of ALJ Bias | Compliance Week
In a recently-issued report, the SEC’s Office of Inspector General concluded that there was no evidence to support allegations of bias on the part of Administrative Law Judges in the SEC’s administrative proceedings. The allegation had surfaced in a May 2015 article in The Wall Street Journal. via SEC Inspector General Report Finds No Evidence […]
SEC: Tech Company Bribed Chinese Officials — SEC Press Release
The Securities and Exchange Commission today announced that a Massachusetts-based technology company and its Chinese subsidiaries agreed to pay more than $28 million to settle parallel civil and criminal actions involving violations of the Foreign Corrupt Practices Act (FCPA). via SEC: Tech Company Bribed Chinese Officials — SEC Press Release
Securities Docket News Wire for February 16, 2016
Get caught up with the Securities Docket News Wire for February 16, 2016.