‘Enforcement 40’ for 2020
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By Securities Docket on August 18, 2016, 12:30 pm
All of this leads me to conclude the DOJ (as well as the Securities and Exchange Commission (SEC)) want to see compliance moved out into the business. This means that Chief Compliance Officers (CCO’s) will need to move past the thinking that simply having a compliance program will be enough to make compliance effective. You […]
By Securities Docket on August 18, 2016, 12:28 pm
The SEC’s action, which remains pending, seeks an injunction against Sean Stewart and Robert Stewart from further violations of the charged provisions of the federal securities laws, disgorgement of ill-gotten gains, civil penalties, and an officer and director bar against Robert Stewart. via Defendant in SEC Insider Trading Action Found Guilty by Federal Jury in […]
By Securities Docket on August 18, 2016, 12:25 pm
The Securities and Exchange Commission is serious about stamping out problematic severance agreements. In less than one week, two companies have had to pay fines to resolve commission allegations that their severance agreements violated whistle-blower protection rules. via SEC Has Laser Focus on Severance Agreements | Bloomberg BNA.