‘Enforcement 40’ for 2020
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Join the Securities Litigation and Enforcement Group on LinkedInThe Sure Thing podcast: ‘It was just chaos’: The day police cracked an $8 million scam
One of the men behind Australia’s biggest insider trading case has broken his silence, detailing his role in a heist of almost $8 million involving secret accounts, betrayal and a police chase resembling a mafia sting. Christopher Hill, who worked at the Australian Bureau of Statistics at the time, and passed confidential information to NAB […]
Remember Enron? It Could Happen Again on Biden’s Watch
There are several relatively straightforward steps the Biden administration could take. They involve the Securities and Exchange Commission (SEC) and the Public Company Accounting Oversight Board (PCAOB). Some would require legislation, and some assume the new administration can muster a working majority at the SEC. But to really make a difference, the Biden administration will […]
FinHub to Branch out from SEC, Becoming Independent Office
Change is afoot within the SEC. Not only will the regulatory body see its current Chairman, Jay Clayton, exit his role in the coming weeks, but a restructuring is taking place. The ‘Strategic Hub for Innovation and Financial Technology’ – a working group within the SEC – will soon find itself branching off, becoming a […]
The Top Ten D&O Stories of 2019 | The D&O Diary
The liability environment for directors and officers is always in a state of change, but 2019 was a particularly eventful year in the D&O liability arena, with important consequences for the D&O insurance marketplace. The past year’s many developments have significant implications for what may lie ahead in 2020 – and possibly for years to […]
‘Bitcoin will go to zero’: Davos talks up the future of blockchain
“I do believe it will go to zero. I think it’s a great technology but I don’t believe it’s a currency. It’s not based on anything,” Jeff Schumacher, founder of BCG Digital Ventures, said during a CNBC-hosted panel in Davos, Switzerland. Schumacher is a big investor in blockchain-focused companies. During the debate, Glenn Hutchins, co-founder […]
Keeping Tesla Public Won’t Save Elon Musk From the SEC—or Angry Investors | WIRED
Don’t expect the feds to get less interested in Tesla just because it has decided to stay public. “I think the SEC’s interest in Tesla has been heightened, so they’ll be kept under close watch,” says Stephen Diamond, who studies securities law and corporate governance at the Santa Clara University School of Law. In fact, […]
SEC Said to Scrutinize Hedge Funds’ Handling of Hot IPO Shares – Bloomberg
U.S. regulators are scrutinizing how hedge funds and other money managers divvy up the stock they get from hot initial public offerings due to concerns that highly lucrative trades are inappropriately enriching a select few, said three people familiar with the matter. Investment firms typically oversee multiple funds, and the Securities and Exchange Commission is asking how […]
SEC official says agency on the lookout for public-pension pay-to-play – PE Hub
SEC Director Andrew Ceresney has pay-to-play in mind — and has put public pensions on notice that the agency is watching. The SEC is stepping up its coordination with the FBI and U.S. Attorney’s Office as it looks into pay-to-play schemes involving public pensions, Ceresney said at the Securities Enforcement Forum in Washington last week. via […]
May 25 Webcast: Using Law and Accounting to Determine Separateness or Piercing of the Corporate Veil
Please join panelists Neil Gray, Jeff Litvak, and Clara Chin for this free webcast.
Just 20 Days Until the West Coast SEC Directors Roundtable — Register Now!
Please join us May 8, 2014 in San Francisco for the West Coast SEC Directors Roundtable!