• Home
  • About
  • Webcasts
  • ‘Enforcement 40’ for 2020
  • Enforcement Hall of Fame
  • Contact
Securities Docket
Securities-Docket-Leaderboard_9Sec
  • Class Actions
  • Criminal
  • Global
  • People
  • SD Insider
  • SEC
  • Video
  • Subscribe by email
  • Subscribe
Browse: Home / Policies

Policies

DOJ Outlines New Policy Regarding White Collar Cases Against Individuals | WilmerHale

By Securities Docket on September 11, 2015, 10:49 am

The Department of Justice has released a new policy intended to further the Department’s effort to hold individuals accountable for corporate wrongdoing. The policy was laid out in a September 9, 2015 memorandum authored by Deputy Attorney General Sally Quillian Yates. The new policy is more than a clarification of existing practices; it constitutes the […]

Posted in Criminal, Top | Tagged DOJ, Policies

It’s Official – Throw the Employees Under the Bus — White Collar Crime Prof Blog

By Securities Docket on September 10, 2015, 7:43 am

The new DOJ Policy (see here for the NYTimes story that includes DOJ Policy) makes the current practice of corporations “throwing employees under the bus,” official. It states, “[t]o be eligible of any cooperation credit, corporations must provide to the Department all relevant facts about the individuals involved in corporate misconduct.”  Corporations have received deferred and […]

Posted in Criminal, Top | Tagged DOJ, Policies

SEC Employee’s Goodbye Party Leads to More than Cake and Farewells – Compliance Week

By Securities Docket on April 11, 2014, 12:35 pm

Somehow, Kidney’s goodbye party departed from standard employee goodbye party protocol–where the departing employee thanks everyone for the cake and for coming out to say goodbye–into something quite different. According to numerous reports this week (not to mention a full-blown transcript of Kidney’s “Retirement Remarks” obtained and published by the SEC Union), Kidney took the […]

Posted in SEC, Top | Tagged Policies

When Regulators Think They’re Prosecutors – WSJ.com Op-Ed

By Securities Docket on April 10, 2014, 8:47 am

Many investors and commentators think it’s about time the SEC got tougher on financial fraudsters and treated them more like common criminals. But policy makers and judges should think twice about whether this trend of quasi-criminal administrative prosecution is a good idea. It isn’t, for at least two reasons. via Russell G. Ryan: When Regulators […]

Posted in Criminal, SEC, Top | Tagged Policies, Web Watch

In Policy Shift, SEC Obtains Admissions of Wrongdoing in Falcone Settlement – Compliance Week

By Securities Docket on August 20, 2013, 9:11 am

On June 18, 2013, SEC Chair Mary Jo White announced that the agency would soon begin requiring admissions of wrongdoing from defendants to settle enforcement actions in certain egregious cases. Just two months later, the SEC took its first step under the new policy, announcing that hedge fund adviser Philip Falcone and his firm Harbinger […]

Posted in SEC, Top | Tagged Admissions, Policies, Settlements

SEC Dings Goldman for Inadequate Policies Governing Research ‘Huddles’

SEC Dings Goldman for Inadequate Policies Governing Research ‘Huddles’

By Securities Docket on April 12, 2012, 7:06 pm

SEC files settled AP alleging Goldman lacked adequate policies and procedures for weekly research “huddles.”

Posted in SEC, Top | Tagged APs, Policies, Settlements

Second Circuit Rebuffs Rakoff, Grants Stay to Hear Appeal on Settlement Ruling -- The D&O Diary

Second Circuit Rebuffs Rakoff, Grants Stay to Hear Appeal on Settlement Ruling — The D&O Diary

By Securities Docket on March 16, 2012, 2:11 pm

“Three judge panel saw nothing wrong at any level with a settlement in which there has been no admission of liability.”

Posted in SEC | Tagged Judge Rakoff, Policies, Settlements, Web Watch

Archived Version and Materials for Jan. 12 Webcast: Effective Insider Trading Policies for Public Companies and Regulated Entities

Archived Version and Materials for Jan. 12 Webcast: Effective Insider Trading Policies for Public Companies and Regulated Entities

By Securities Docket on January 18, 2012, 2:32 pm

Jay Dubow, Anthony Creamer and Alma Angotti joined us for this webcast.

Posted in Industry, SD Insider, Top | Tagged Insider Trading, Policies, Webcasts

When Wall Street Sins, SEC Needs to Extract Confessions: View - BusinessWeek

When Wall Street Sins, SEC Needs to Extract Confessions: View – BusinessWeek

By Securities Docket on January 13, 2012, 2:24 pm

“The SEC should make further changes to put real meaning behind its attempt at reform.”

Posted in SEC | Tagged Policies, Settlements, Web Watch

Defending the SEC’s Neither-Admit-Nor-Deny Policy

By Securities Docket on December 22, 2011, 12:47 pm

Abandoning the standard settlement language would mean the SEC could no longer pick its trial battles carefully, deciding which factual situations could get the agency the most bang for its litigation buck.  Instead, it would have to prepare for almost every matter as if a trial were inevitable, because it almost certainly would be. It’s […]

Posted in SEC | Tagged Policies, Settlements, Web Watch

Next »

‘Enforcement 40’ for 2020

Ankura 260x250

Our Sponsors

Securities-Docket_260x125_14Sec Ankura 260x125

Join Us On LinkedIn

Join the Securities Litigation and Enforcement Group on LinkedIn

Archives

Copyright © 2021 Securities Docket.

Powered by WordPress and Hybrid.