‘Enforcement 40’ for 2020
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By Securities Docket on June 17, 2016, 1:21 pm
At a hearing this week, Sen. Elizabeth Warren tried to hang her “disappointment” on SEC Chair Mary Jo White for the third time in 12 months. This time, to Sen. Warren’s surprise, Chair White was ready to fight disappointment with disappointment. via Sen. Warren, Chair White and the circle of disappointment | Compliance Week
By Securities Docket on June 17, 2016, 8:55 am
Get caught up with the Securities Docket News Wire for June 16, 2016.
By Securities Docket on June 17, 2016, 8:54 am
Bernard Madoff’s cheated investors will receive another multimillion-dollar payout, bringing their total recoveries since the collapse of his Ponzi scheme to nearly $9.5 billion. Judge Stuart M. Bernstein of the U.S. Bankruptcy Court in Manhattan on Wednesday authorized the seventh payout to investors in Bernard L. Madoff Investment Securities LLC, court papers show. via Bernard Madoff Investors […]
By Securities Docket on June 17, 2016, 8:44 am
Recent pronouncements from U.S. government officials, as well as regulatory actions, have made it clear that ensuring financial institutions’ cybersecurity will be a major priority for the SEC and other regulators charged with safeguarding financial markets. via Tailored Cybersecurity Programs Remain a Policy and Enforcement Focus for Financial Regulators — OnPoint
By Securities Docket on June 17, 2016, 7:45 am
Ms. White probably will go down in history as one of the SEC’s most effective and successful leaders. In its 2015 fiscal year, the agency brought 807 enforcement cases, an unprecedented number, and secured orders directing penalties and disgorgement totaling $4.2 billion, an all-time high. There is no need to conscript Google, Yahoo and others […]