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Browse: Home / Supervisors

Supervisors

SEC Lodges ‘Failure to Supervise’ Charge Against SAC’s Cohen, Will Seek Industry Bar – Compliance Week

By Securities Docket on July 22, 2013, 1:05 pm

On Friday, the SEC became the first securities enforcer to go after SAC’s Steve Cohen, charging that Cohen failed to supervise two senior employees and prevent them from engaging in insider trading. Will Preet Bharara and the SDNY be next? via SEC Lodges ‘Failure to Supervise’ Charge Against SAC’s Cohen, Will Seek Industry Bar – […]

Posted in Criminal, SEC, Top | Tagged Insider Trading, SAC, Supervisors

SEC Charges Eight Mutual Fund Directors for Failure to Properly Oversee Asset Valuation

SEC Charges Eight Mutual Fund Directors for Failure to Properly Oversee Asset Valuation

By Securities Docket on December 11, 2012, 7:42 am

SEC alleges funds fraudulently overstated the value of their securities as the housing market was on the brink of financial crisis in 2007.

Posted in SEC, Top | Tagged Board of Directors, Financial Crisis, Supervisors

Are you a Supervisor? -- Compliance Building

Are you a Supervisor? — Compliance Building

By Securities Docket on March 20, 2012, 12:16 pm

Final decision by SEC leaves “supervisor” issue murky.

Posted in Industry, SEC | Tagged Supervisors, Web Watch

Broker-Dealer Lawyer Who Spotted Fraud Rewarded With Five-Year SEC Ordeal

Broker-Dealer Lawyer Who Spotted Fraud Rewarded With Five-Year SEC Ordeal

By Securities Docket on March 5, 2012, 3:24 pm

Five year case ended Jan. 26, when SEC dismissed the matter without an opinion.

Posted in SEC | Tagged Broker-dealers, Supervisors, Web Watch

SEC’s Gallagher: Supervisor Definition Remains ‘Disturbingly Murky’

SEC’s Gallagher: Supervisor Definition Remains ‘Disturbingly Murky’

By Securities Docket on February 28, 2012, 1:03 pm

SEC commissioner calls for “clearer guidance” on the issue.

Posted in Industry, SEC, Top | Tagged Commissioners, Supervisors

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