‘Enforcement 40’ for 2020
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By Securities Docket on May 11, 2016, 11:09 am
Jacob S. Frenkel joins Dickinson Wright PLLC from Shulman, Rogers.
By Securities Docket on May 11, 2016, 10:56 am
Blackstone Group LP is hiring a former top enforcement attorney at the U.S. Securities and Exchange Commission, months after the world’s biggest alternative-asset manager agreed to its first SEC penalty, two people with knowledge of the move said. Marshall Sprung will be a managing director and global head of compliance at New York-based Blackstone, said […]
By Securities Docket on May 11, 2016, 10:37 am
The U.K. markets regulator says its most expensive insider-dealing prosecution paid off — even if three of the targets walked. The Financial Conduct Authority spent almost 14 million pounds ($20 million) on the four-month trial and eight-year investigation, which led to the conviction of two men Monday by a London jury. That gave the FCA five convictions […]
By Securities Docket on May 11, 2016, 10:16 am
The problem was the same as with all faxes: nobody wants them. They want emails instead. So when the firm set up an electronic faxing service, they added an extra step in the communication chain, and routed the faxes to email addresses. While they should have sent those faxes to email addresses with the firm’s […]