Daily Archives: February 17, 2016, 3:22 pm

SEC 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 to charge former Deutsche Bank…

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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 of ALJ Bias | Compliance…

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