‘Enforcement 40’ for 2020
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By Securities Docket on March 14, 2018, 7:15 pm
A House Financial Services subcommittee met Wednesday in what was supposed to be an overview of the cryptocurrency landscape. The two-hour hearing raised more questions than answers, and shined a light on some Congress members’ deep skepticism around digital currency. via Congressional hearing devolves into bitcoin bash fest.
By Securities Docket on March 14, 2018, 10:24 am
The Securities and Exchange Commission today charged a former chief information officer of a U.S. business unit of Equifax with insider trading in advance of the company’s September 2017 announcement about a massive data breach that exposed the social security numbers and other personal information of about 148 million U.S. customers. via Former Equifax Executive […]
By Securities Docket on March 14, 2018, 8:43 am
Duff & Phelps Corp. said it would buy investigations and risk-consulting firm Kroll Inc., the latest in a series of acquisitions by the U.S. corporate-finance adviser. via Duff & Phelps to Buy Corporate-Investigations Firm Kroll – WSJ.
By Securities Docket on March 14, 2018, 8:41 am
There could be big changes to the way in which the UK’s Serious Fraud Office (SFO) is funded, following reports it is in talks with HM Treasury to increase its annual budget. Currently, the SFO is allocated a basic annual budget of £31m (€34.9m, $43.3m) to maintain its 500 staff. If it would like to […]
By Securities Docket on March 14, 2018, 8:38 am
On the morning his insider trading trial was slated to begin in U.S. District Court, a San Diego man pleaded guilty to conspiracy, with his plea coming just days after his co-defendant was convicted of the same charge by a federal jury. Stockbroker Paul Rampoldi, 50, of San Diego was found guilty Friday after the […]
By Securities Docket on March 14, 2018, 8:37 am
The Securities and Exchange Commission today charged foreign affiliates of KPMG, Deloitte & Touche, and BDO for their involvement in audit work that circumvented the full oversight of the Public Company Accounting Oversight Board (PCAOB). The firms agreed to settle the charges by paying penalties or disgorging their profits from the audits. via Foreign Affiliates […]
By Securities Docket on March 14, 2018, 8:36 am
The U.S. Securities and Exchange Commission is examining the business practices of a cadre of funds set up to invest in cryptocurrencies and initial coin offerings — digital-token sales that give buyers stakes in companies, said three people with knowledge of the matter. Since hedge funds manage money for outside investors, the SEC wants to […]