‘Enforcement 40’ for 2020
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By Securities Docket on February 17, 2016, 3:22 pm
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 […]
Posted in SEC, Top | Tagged Analysts, Regulation AC
By Securities Docket on February 17, 2016, 12:15 pm
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 […]
By Securities Docket on February 17, 2016, 9:42 am
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
By Securities Docket on February 17, 2016, 8:55 am
Get caught up with the Securities Docket News Wire for February 16, 2016.