‘Enforcement 40’ for 2020
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By Securities Docket on November 7, 2017, 10:18 am
After years of investigating Zespri over its operations in China, the Serious Fraud Office has failed to bring charges though it has issued a warning over dual invoicing. In a statement, the SFO says the investigation is closed because the conduct did not meet the high evidential standard for laying criminal charges. via SFO fails […]
By Securities Docket on November 7, 2017, 10:10 am
In his first month as chairman of the Securities and Exchange Commission, Jay Clayton put the wheels in motion to formulate a uniform fiduciary standard for brokers and investment advisers, something that eluded his two direct predecessors and which supporters and critics alike agree could be a herculean task. Sworn in on May 4, Mr. […]