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‘Enforcement 40’ for 2020
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Join the Securities Litigation and Enforcement Group on LinkedInSEC Enforcement Probe Led to Renewed Look at 2016 Hack – WSJ
The Securities and Exchange Commission looked anew at a 2016 hack of its electronic corporate filing system as part of an enforcement investigation, its chairman said in testimony prepared for a Senate hearing on Tuesday. SEC Chairman Jay Clayton’s testimony said the commission began reviewing the hack of the Edgar filing system in August due […]
Former legal assistant at prominent Bay Street law firm at centre of insider tripping and trading case | Financial Post
A former legal assistant at prominent Bay Street law firm Davies Ward Phillips & Vineberg LLP has been caught up in accusations of insider tipping and trading. The Ontario Securities Commission accused Donna Hutchinson, on Friday, of passing on “material, non-public information” she learned about pending corporate transactions as a result of her employment at […]
Steve Cohen hedge fund said to send pitch documents to investors – Business Insider
Steve Cohen, the billionaire hedge-fund manager briefly banned from the industry after an insider-trading investigation, this week sent investors documents pitching his new fund, Stamford Harbor Capital, a person who has reviewed the deck told Business Insider. via Steve Cohen hedge fund said to send pitch documents to investors – Business Insider
Investor group seeks probe into SEC hack, urges data rules delay | Reuters
The Investment Company Institute (ICI), which represents over 95 million U.S. shareholders, wants the SEC to clear up concerns about its cyber defenses before requiring funds to submit monthly performance data to the regulator, Paul Schott Stevens, the group’s chief executive, told Reuters in a phone interview. “What the SEC breach now makes very clear […]
Trial begins for trio of former Tesco executives accused of fraud by the Serious Fraud Office (SFO) | City A.M.
Three former Tesco executives accused of fraud and false accounting are due to finally stand trial at Southwark Crown Court tomorrow, in one of the most high-profile cases ever brought by the Serious Fraud Office (SFO). Carl Rogberg, Christopher Bush and John Scouler have each been charged with one count of false accounting and one […]