‘Enforcement 40’ for 2020
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By Securities Docket on May 16, 2019, 7:35 am
President Donald Trump on Wednesday pardoned former newspaper mogul Conrad Black, who was convicted in 2007 on charges that he swindled shareholders in his media empire out of $6 million, the White House announced. via Trump pardons ex-media mogul Conrad Black, who wrote flattering biography of Trump.
By Securities Docket on May 16, 2019, 7:33 am
KPMG has announced an overhaul of its UK governance structure in response to a recommendation by the competition watchdog for an operational split between the Big Four firms’ audit and consulting arms. The firm will create a new audit executive committee in the UK with responsibility for managing the performance and risks of that part […]
By Securities Docket on May 16, 2019, 7:31 am
One thing LTSE wants to change is the public market’s focus on short-term results, which Ries believes negatively impacts innovation…. Instead, LTSE would have rules to encourage companies to focus on long-term innovation instead of quarterly earnings reports. Not only would the exchange request limits on executive bonuses for meeting short-term goals, but it would […]
By Securities Docket on May 16, 2019, 7:28 am
Speaking Monday at CoinDesk’s Consensus 2019 conference in New York, Valerie Szczepanik, the SEC’s senior advisor for digital assets and innovation, said cryptocurrency exchanges that facilitate token sales for a fee likely meet the legal definition of securities dealers if the issuer or any of the buyers are based in the U.S. As such, they […]
By Securities Docket on May 16, 2019, 7:27 am
On May 8, 2019, the Commodity Futures Trading Commission (CFTC) Division of Enforcement (DOE or Division) released its first publicly available Enforcement Manual. The Manual provides an overview of the Division and sets out the general policies and procedures that guide its Staff in detecting, investigating and prosecuting violations of the Commodity Exchange Act (CEA) […]