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Join the Securities Litigation and Enforcement Group on LinkedInFCPA “Tips” Continue To Be A Minor Component Of The SEC’s Whistleblower Program – FCPA Professor
Whatever your initial view on how the whistleblower provisions may impact FCPA enforcement, it was previously noted that the best part of the whistleblower provisions were that its impact on FCPA enforcement could be monitored and analyzed because the SEC is required to submit annual reports to Congress. Recently, the SEC released (here) its annual […]
Newest weapon in US hunt for insider traders paying off — Dailytimes
In April, the SEC released a plan to establish a database that stores every trade order, execution and cancellation. Known as a “consolidated audit trail,” it is a central repository that is expected to begin getting data from stock exchanges and FINRA by late 2017. Thomas Sporkin, a former senior SEC official with the law […]
Securities Docket News Wire for November 21, 2016
Get caught up with the Securities Docket News Wire for November 21, 2016.