‘Enforcement 40’ for 2020
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By Securities Docket on June 2, 2016, 4:17 pm
Just two weeks after SEC Chair Mary Jo White identified cybersecurity as the “biggest risk facing the financial system,” the SEC further strengthened its focus in this area by naming Christopher R. Hetner to the newly-created position of Senior Advisor to the Chair for Cybersecurity Policy. via SEC Names Christopher Hetner as Senior Advisor on Cybersecurity […]
By Securities Docket on June 2, 2016, 11:31 am
In the U.S., we are pretty firm on the concept that “Ignorance of the law is no excuse.” And I would argue the U.S. is even more firmly against the novel concept of “I knew about the law, but I just wasn’t thinking about it at the time and now I’m sorry for violating it.” […]
By Securities Docket on June 2, 2016, 8:55 am
Get caught up with the Securities Docket News Wire for June 1, 2016.
By Securities Docket on June 2, 2016, 7:55 am
Oliver Curtis, husband of Sydney publicist Roxy Jacenko, has been found guilty conspiracy to commit insider trading following a high-profile New South Wales Supreme Court trial. A Supreme Court jury found Curtis, 30, guilty of insider trading after a 12-day trial and deliberations spanning two days. He was charged with conspiring with ex-best friend John […]
By Securities Docket on June 2, 2016, 7:54 am
Patriarch Partners founder Lynn Tilton lost her challenge to the U.S. Securities and Exchange Commission’s use of in-house judges, after arguing the process is unfair and unconstitutional. The federal appeals court in New York agreed with the lower court that the agency can pursue its case against Tilton internally. If the fund manager were to lose, […]
By Securities Docket on June 2, 2016, 7:52 am
A civil securities fraud case against the city of Miami is coming to a conclusion this summer, nearly seven years after federal investigators began probing a series of questionable accounting maneuvers that temporarily masked a mounting financial crisis at the city. And though evidence suggests Miami officials temporarily shifted highly restricted funds into bleeding operating […]