‘Enforcement 40’ for 2020
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By Securities Docket on September 20, 2017, 12:35 pm
The Securities and Exchange Commission today charged the former CEO of a Silicon Valley-based fiber optics company with insider trading in company stock by using secret brokerage accounts held in the names of his wife and brother. via CEO Charged With Using Secret Accounts for Insider Trading in Company Stock.
By Securities Docket on September 20, 2017, 8:45 am
Very senior Whitehall sources have told me that the Director’s job is about to be advertised. The term — five years. Quietly, but emphatically, the Government has assured the SFO of its future and the term should guarantee some serious candidates to take on the role. Ultimately the Lady was for turning and part of […]
By Securities Docket on September 20, 2017, 7:56 am
On October 12, 2017, the United States Securities and Exchange Commission’s Investor Advisory Committee will meet to discuss blockchain and distributed ledger technology. Among other items, the committee will explore the implications that the technologies have for securities markets. As set out in the SEC’s notice, the meeting will be available via webcast on the […]
By Securities Docket on September 20, 2017, 7:55 am
The Securities and Exchange Commission today announced that Catherine McGuire, Counsel in the Division of Trading and Markets, is retiring after 44 years at the SEC. via Catherine McGuire to Retire After More Than 40 Years at the SEC