‘Enforcement 40’ for 2020
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By Securities Docket on June 23, 2016, 8:55 am
Get caught up with the Securities Docket News Wire for June 22, 2016.
By Securities Docket on June 23, 2016, 8:45 am
Federal prosecutors in Manhattan are pursuing insider trading cases on a pace not seen since 2012 – before a major appellate ruling limited their ability to bring charges against hedge fund managers and other traders. So far this year, U.S. Attorney Preet Bharara, known for high-profile prosecutions of wrongdoing on Wall Street, has announced charges […]
By Securities Docket on June 22, 2016, 1:11 pm
The Inspector General (IG) of the U.S. Securities and Exchange Commission (SEC) reported last week that the SEC has not sufficiently implemented information technology security upgrades in order to protect highly sensitive information from data breaches. The IG reported that SEC officials failed to deactivate idle user accounts, did not ensure that owners kept their […]
By Securities Docket on June 22, 2016, 11:12 am
A disturbing video of a Chinese bank’s effort to improve employee performance — through public, violent spankings of employees — was posted yesterday in a BBC article. The video, which will make even the most hardened U.S. compliance officer cringe, shows a line of employees from Changzhi Rural Commercial Bank being subjected to an awful “team-building” workshop in […]
By Securities Docket on June 22, 2016, 8:55 am
Get caught up with the Securities Docket News Wire for June 21, 2016.
By Securities Docket on June 21, 2016, 8:55 am
Get caught up with the Securities Docket News Wire for June 20, 2016.
By Securities Docket on June 20, 2016, 10:29 am
Constitutional challenges to the SEC’s use of administrative proceedings to carry out enforcement actions continue to find no success in federal circuit court. Last week, the Eleventh Circuit joined three other circuits that have considered and rejected such challenges when it ruled in the SEC’s favor in two cases that had been consolidated for appeal: SEC v. […]
By Securities Docket on June 20, 2016, 8:56 am
MR. BHARARA: There is no greater issue for people in business to be thinking about and caring about and being worried about than the cyberthreat. I think we have increased our resources with respect to cyber in my office, in just the seven years I’ve been there, by 10-fold. And the FBI, the Secret Service […]
By Securities Docket on June 20, 2016, 8:54 am
Some shareholders of Chipotle stock have filed a suit against the Mexican restaurant chain, saying that company executives awarded themselves “hundreds of millions” of dollars just before stock prices plummeted in response to an E. coli breakout, according to Colorado Public Radio. via Chipotle shareholders file lawsuit against restaurant, claim insider trading – AP