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Join the Securities Litigation and Enforcement Group on LinkedInUS Federal Judge in New York Criticizes SEC ‘Gag Orders’ Policy – Reuters
A US federal judge in New York on Friday called it “troubling” that a Securities and Exchange Commission (SEC) policy makes people who settle charges of fraud, insider trading or other agree not to deny them later. Under the decades-old policy, defendants who settle without admitting to must agree not to publicly deny them. The […]
‘From mother-in-law to behenoi’: How Sebi is battling insider trading – BusinessToday
Speaking at the 49th Foundation Day Lecture of IIM Bangalore, Sebi chairperson Madhabi Puri Buch highlighted the advancements that the regulator has done in terms of harnessing technology and data to prevent or minimise wrongdoings in the securities market. Interestingly, she also highlighted the way violators have evolved following the regulator’s enhanced focus on technology […]
SEC Chair Gary Gensler backs controversial clawback rule
A new Securities and Exchange Commission rule that would allow the agency to reclaim bonuses from certain executives should not discourage companies from going public, SEC Chair Gary Gensler said Friday. The “clawback rule” broadens SEC regulators’ authority to recover incentive-based compensation to current and former executives of public companies that was awarded based on […]