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Senate Panel Sets Hearing Next Week on Pair of SEC Nominees – WSJ

By on October 16, 2017, 1:59 pm

The Senate Banking Committee is set to hold a confirmation hearing next week for the Trump administration’s two nominees to fill vacancies at the Securities and Exchange Commission, according to person familiar with the matter. The hearing is a key development in the nominations of Hester Peirce, a Republican, and Robert Jackson, a Democrat, since […]

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Admissions in SEC Enforcement Cases: The Revolution That Wasn’t

By on October 16, 2017, 9:21 am

…The SEC continues to report record enforcement numbers and has touted the admissions policy as a great success. However, this Article empirically demonstrates that the SEC has obtained admissions in a very small number of cases since adopting the new policy, and on only a few occasions in cases involving the most serious charges, namely […]

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Watchstone denies Slater and Gordon’s accusations of fraud during ill-fated Quindell deal | Legal Week

By on October 16, 2017, 9:18 am

Watchstone – the UK company formerly known as Quindell – has denied any wrongdoing in the sale of its professional services division to Australian-listed law firm Slater and Gordon. The claims outsourcing company filed its defence in London’s High Court yesterday (12 October), in response to the law firm’s claim served in June. Slater & […]

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German watchdog pursues charges in Hugo Boss insider trading probe — Reuters

By on October 16, 2017, 8:53 am

German financial watchdog Bafin said it was pressing insider trading charges relating to a drop last year in the price of Hugo Boss (BOSSn.DE) shares, confirming a Der Spiegel report. via German watchdog pursues charges in Hugo Boss insider trading probe — Reuters

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SEC Announces Whistleblower Award of More Than a Million Dollars

By on October 16, 2017, 8:45 am

The Securities and Exchange Commission today announced that a whistleblower has earned an award of more than $1 million for providing the SEC with new information and substantial corroborating documentation of a securities law violation by a registered entity that impacted retail customers. via SEC Announces Whistleblower Award of More Than a Million Dollars

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