‘Enforcement 40’ for 2020
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By Securities Docket on November 13, 2018, 9:28 pm
Please join Boris Richard, Jeff Bandman, Ivana Rouse and Peter Altman for this free webcast.
By Securities Docket on November 13, 2018, 10:20 am
The former co-chief of the U.S. Securities and Exchange Commission’s asset management unit is moving to private practice for the first time in his career, joining Dechert in Washington, D.C., after 18 years with the regulator. Anthony Kelly joined the SEC as a securities compliance examiner in 2000 and stayed with the agency on completing […]
By Securities Docket on November 12, 2018, 8:40 am
The Securities and Exchange Commission’s Enforcement Division on Nov. 2 issued its annual report, highlighting the Division’s activities in fiscal year 2018 from both a qualitative and quantitative perspective. But focusing on enforcement numbers and penalty amounts alone is meaningless, SEC Commissioner Hester Peirce said in recent remarks. “The current Commission is not humming happily […]
By Securities Docket on November 12, 2018, 8:09 am
Cryptocurrency exchanges, be warned. There’s no out-innovating the regulatory reach of the U.S. Securities and Exchange Commission. Clarifying an announcement yesterday that the SEC is in the middle of its first ever case against a cryptocurrency exchange running on the ethereum blockchain, the chief of the SEC’s newly created cyber unit, Robert Cohen, exclusively told […]
By Securities Docket on November 8, 2018, 11:31 am
The Securities and Exchange Commission today announced settled charges against Zachary Coburn, the founder of EtherDelta, a digital “token” trading platform. This is the SEC’s first enforcement action based on findings that such a platform operated as an unregistered national securities exchange. via SEC.gov | SEC Charges EtherDelta Founder With Operating an Unregistered Exchange.
By Securities Docket on November 6, 2018, 10:06 am
The Securities and Exchange Commission today announced that Anthony S. Kelly, Co-Chief of the Enforcement Division’s Asset Management Unit, will be leaving the agency this month after more than 18 years of service. via SEC.gov | Anthony S. Kelly, Co-Chief of Asset Management Unit, to Leave SEC After 18 Years of Service.
By Securities Docket on November 3, 2018, 11:26 am
The Securities and Exchange Commission assessed $3.945 billion in disgorgement and penalties across 821 enforcement actions in fiscal 2018, the agency’s enforcement division said in its annual report on Friday. The total was a slight uptick in activity for the SEC, which reported just 754 actions in fiscal 2017 totaling $3.7 billion in disgorgement and […]
By Securities Docket on November 3, 2018, 11:23 am
Charles Cain, the head of the commission’s FCPA unit, said that while oil and gas and pharmaceutical industries, among others, “are always going to be repeat players because of the nature of their businesses … you are seeing some additional industries come to the front as far as getting enforcement action.” “A couple years back, […]