‘Enforcement 40’ for 2020
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By Securities Docket on January 21, 2023, 9:52 am
The SEC’s mandate is vital but limited. Securities laws empower the commission to combat market abuses and fraud and to ensure that investors have material information to make their own investment judgments. As President Franklin D. Roosevelt explained when signing the Securities Act of 1933, “It is, of course, no insurance against errors of judgment. […]
By Securities Docket on September 19, 2022, 8:52 am
Corporate compliance officers, drop everything. We have a second speech from the Justice Department about corporate misconduct and compliance programs that needs your immediate attention. Assistant attorney general Kenneth Polite gave the speech in Texas on Friday. It follows the speech that his boss, deputy attorney general Lisa Monaco, gave one day earlier in New […]
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.