‘Enforcement 40’ for 2020
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By Securities Docket on August 30, 2018, 7:59 am
Lisa Osofsky’s five year term as Director of the Serious Fraud Office begins today, 28 August 2018. Her appointment was announced by the then Attorney General, Jeremy Wright QC MP, on 4 June. Her start date was subsequently brought forward from 3 September. via Lisa Osofsky begins tenure as SFO Director – Serious Fraud Office.
Posted in People, Regulation, Top | Tagged SFO
By Securities Docket on August 30, 2018, 7:58 am
DLA Piper has been joined by leading corporate crime and regulatory investigations lawyer Patrick Rappo. He joins from Steptoe & Johnson in London, which he joined as a partner in 2013. Patrick previously spent five years at the Serious Fraud Office, where he became Joint Head of the Bribery & Corruption Divisions and played a […]
By Securities Docket on August 30, 2018, 7:56 am
Damilare Sonoiki, who worked for Goldman until 2015, passed the information to his friend Mychal Kendricks during a months-long scheme starting in 2014 that earned the football player about $1.2 million, federal prosecutors in Philadelphia said Wednesday. via NFL’s Kendricks Charged With Damilare Sonoiki For Insider Trading – Bloomberg.
Posted in Criminal, SEC, Top | Tagged Insider Trading, NFL
By Securities Docket on August 30, 2018, 7:55 am
In the first enforcement action of its kind, Moody’s Investors Services Inc. has agreed to pay $16.25 million to settle charges that it failed to adopt adequate internal controls and to apply clear and consistent credit rating symbols. via In a First, SEC Fines Moody’s Over Poor Controls, Unclear Rating Symbols | Corporate Counsel.
Posted in SEC, Top | Tagged Credit agencies, Moody's