‘Enforcement 40’ for 2020
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By Securities Docket on July 7, 2017, 12:07 pm
Whether you work in an RIA, or, since June 9, in a broker-dealer held to the Department of Labor’s fiduciary rule, you face heightened scrutiny for negligence compared with other wealth managers. The upshot? You could be guilty of negligence without even knowing it. Earlier this year Joseph Brenner, chief counsel of the SEC’s enforcement […]
By Securities Docket on July 7, 2017, 12:01 pm
The independence of the Serious Fraud Office is central to Britain’s international image as a reputable place to do business, its director has said, in a robust defence of the agency that investigates and prosecutes fraud and corruption. Speaking at a London conference on corporate crime on Thursday, David Green called for the SFO’s future […]