‘Enforcement 40’ for 2020
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By Securities Docket on January 23, 2017, 5:05 pm
A former analyst with billionaire Michael Dell’s personal investment firm, MSD Capital, decided to play hooky on the morning of his Manhattan federal court trial — prompting a judge to issue a warrant for his arrest. … Judge Paul Englemayer was not impressed. “He is going to need to bring his toothbrush,” Englemayer warned after […]
By Securities Docket on January 23, 2017, 10:55 am
The most senior criminal lawyer at the Financial Conduct Authority is leaving to join a law firm at a key moment for the watchdog. Claire Lipworth, chief criminal counsel for the past three years and one of its most senior lawyers for the last eight, will join Hogan Lovells in April as a partner in […]
By Securities Docket on January 23, 2017, 10:53 am
The sizable learning curve of the likely next chairman of the Securities and Exchange Commission plus vacancies on the commission and in several key agency divisions should add up to an extended quiet period, veteran SEC watchers say. via SEC expected to come out of gate slowly – Pensions & Investments.
By Securities Docket on January 23, 2017, 9:57 am
Adding to its mounting list of headaches — Yahoo is now facing a probe from the Securities and Exchange Commission as to whether or not it could have acted more promptly in response to two massive data breaches that left over a billion customers’ information compromised. Specifically, the SEC is curious as to whether Yahoo’s disclosures […]