‘Enforcement 40’ for 2020
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By Securities Docket on August 8, 2019, 11:05 am
In a court filing dated Aug. 6, Kik’s lawyers state that the SEC relied on taking quotes out of context and twisting facts in order to support their allegations. Kik further wrote that the SEC resorted to misrepresenting the facts because they have no strong evidence to support their claims: “If the Commission had strong […]
By Securities Docket on August 8, 2019, 11:03 am
A former KPMG US partner accused of insider trading is to pay the US Securities & Exchange Commission (SEC) $125,000 (£102,771) in a final judgment that will also see him banned for life from practising as a listed company accountant or auditor. Thomas Avent Jr agreed to the final judgment without admitting or denying the […]