‘Enforcement 40’ for 2020
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By Securities Docket on November 22, 2016, 10:31 am
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 […]
By Securities Docket on November 22, 2016, 10:25 am
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 […]