‘Enforcement 40’ for 2020
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By Securities Docket on April 6, 2018, 8:02 am
Please join Alma Angotti, Gino Soave, Martine Beamon and Jai Massari for this free webcast.
By Securities Docket on January 3, 2018, 9:49 am
Almost 80% of fines between 2012 and Q3 2017 were issued by US regulators, the majority of which (85%) related to market abuse and disclosure. The UK’s Financial Conduct Authority (FCA) accounted for $3.1 billion (£2.2 billion) of the conduct fines handed out over the same period. via $26 billion in fines and 28 jail […]
By Securities Docket on December 6, 2013, 7:32 am
The call went out on Twitter: “For insane profits come and join the pump.” It was an invitation to a penny stock-style pump-and-dump scheme — only this one involved Bitcoin, the soaring, slightly scary virtual currency that has beckoned and bewildered people around the world. While such bid ’em up, sell ’em off scams are […]
By Securities Docket on January 8, 2013, 7:55 am
U.S. financial regulators are pushing to turn hedge funds into informers on the white collar crime beat. The Financial Crimes Enforcement Network (FinCEN) is working on a rule that would require U.S. hedge funds to file formal reports notifying U.S. authorities of any suspicious trading by employees or outside parties, the regulatory agency said. The […]
By Amanda Harding on April 21, 2010, 3:34 pm
Google will make financial disclosures exclusively on this “recognized channel.”
By Amanda Harding on April 2, 2010, 10:35 am
The agency may require detailed findings in settlement agreements.
By Amanda Harding on March 3, 2010, 3:53 pm
Judge Rakoff cites absolute immunity of NASD in its regulatory function.
By Amanda Harding on March 3, 2010, 3:46 pm
IOSCO sets forth new required disclosures for hedge fund regulators to enforce.
By Amanda Harding on January 21, 2010, 4:55 pm
New Kuwaiti regulator will oversee Kuwaiti Stock Exchange.