‘Enforcement 40’ for 2020
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By Securities Docket on May 4, 2016, 12:10 pm
Yesterday, however, the UK’s Daily Mail weighed in on the SEC’s recent Stephen Ferrone case with a headline that shows the difference between pros like itself and the rest of us average Joes in the “click economy.” via Pros vs. Joes: SEC enforcement headlines edition | Compliance Week
By Securities Docket on May 4, 2016, 10:33 am
Alexander “Alec” Koch join law firm King & Spalding from the SEC.
By Securities Docket on May 4, 2016, 9:07 am
A month ago, I wrote a Compliance Week column about Vanguard’s disquieting cybersecurity stumble in February, and its ill-fated state of denial. Well, Vanguard is in the news again and it looks like they are making the same mistakes they always have…. via Vanguard Stumbles (Again)
By Securities Docket on May 4, 2016, 8:55 am
Get caught up with the Securities Docket News Wire for May 3, 2016.
By Securities Docket on May 4, 2016, 8:46 am
On 24 March 2016, the Hong Kong Securities and Futures Commission (SFC) announced that it had taken disciplinary action against Mr Yuen Siu Lun by banning him from the securities industry for seven years. The disciplinary action is notable as a rare example of the SFC looking at a person’s conduct outside of a regulated […]