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Highlights from Securities Enforcement Forum 2016
Photos and highlights from Securities Enforcement Forum 2016.
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 […]
Don’t Miss Out! Register Now for Securities Enforcement Forum 2016
Securities Enforcement Forum 2016 is on October 13, 2016!
Top Five Reasons (and One Bonus Reason!) to Register Now for Securities Enforcement Forum 2015!
Securities Enforcement Forum 2015 is on Nov. 4, 2015. Register now!
Photos and Highlights from Securities Enforcement Forum 2014
Video and photo highlights from Securities Enforcement Forum 2014.
SEC’s Piwowar: ‘If Every Rule is a Priority, Then No Rule is a Priority’ | Compliance Week
Almost exactly one year after SEC Chair Mary Jo White’s “Broken Windows” speech, SEC Commissioner Michael Piwowar took issue with that strategy in a speech of his own, stating that “if every rule is a priority, then no rule is a priority.” via SEC’s Piwowar: ‘If Every Rule is a Priority, Then No Rule is […]
SEC Official: Company Reforms Can Make Monitorships Unneccesary – Risk & Compliance – WSJ
Companies that discover corruption issues might do well to clean up their act before they make disclosures to the government. Current and former officials say authorities have become more reluctant to impose outside watchdogs — known as monitorships — when companies can show they’ve already reformed the policies that allowed misconduct to occur. via SEC […]
Wrapping up Securities Enforcement Forum 2014 | Cady Bar the Door
I was lucky enough to spend Tuesday at Bruce Carton’s Securities Enforcement Forum 2014. In three years, it has gone from zero to the preeminent securities enforcement law conference anywhere. I blogged it hurriedly throughout the day, but here are what I think are the most salient points or comments after some reflection. via Wrapping […]
5 Great Reasons to Attend Securities Enforcement Forum 2014 (Oct. 14, 2014 in D.C.)
Five great reasons to attend Securities Enforcement Forum 2014!