Search for: "SECLaw Staff"
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22 Jul 2016, 10:34 am
He worked closely with PCAOB staff to promote the evolution of root cause analysis by auditors and the PCAOB to obtain a deeper understanding of the underlying causes of recurring audit deficiencies. [read post]
28 Jun 2016, 11:43 am
She began working in the Los Angeles office in 2005 as a staff attorney in the Division of Enforcement and joined the Asset Management Unit when it was formed in 2010. [read post]
20 Jan 2016, 1:02 pm
Nash has played a leadership role in the SEC staff’s active engagement with the Financial Stability Oversight Council in the analysis of potential financial stability risks posed by asset management activities and products. [read post]
16 Aug 2016, 10:37 am
Health Net further agreed to certify to Enforcement Division staff that it has complied with this undertaking. [read post]
15 Mar 2019, 12:26 pm
This action evidences the vigilance of the SEC’s exam and enforcement staff in identifying investments advisers that exploit client relationships and harm investors. [read post]
9 Mar 2016, 11:41 am
“SEC enforcement staff continue to develop and refine analytical tools to uncover illicit trading activity and hold accountable those abusing the markets for their own financial gain,” said Joseph G. [read post]
15 Sep 2016, 7:36 am
Marietta-Westberg will leave the SEC to join the private sector.Prior to joining the SEC staff, Dr. [read post]
2 Mar 2009, 1:10 am
According to the article, he was absent during the discussions and bailout of Bear, he let Commissioner Atkins run loose, his policy that required staff to seek permission to seek penalties demoralized the agency.I am not so sure that we can lay the entire blame for the SEC's failures at the feet of Chairman Cox, but Time sure gives it a try. [read post]
30 Mar 2010, 8:18 am
Upfront - this piece is a bit unfair, but the allegations are amazing. [read post]
25 Aug 2021, 12:10 pm
The Securities and Exchange Commission today announced the appointment of Barbara Roper as Senior Advisor to the Chair. [read post]
7 Dec 2009, 8:00 am
There is a difference, and those millions of dollars would be better spent hiring staff and investigators so that exams and enforcement actions don't take years and years to complete. [read post]
29 Jun 2016, 9:25 am
I have been privileged to work with numerous talented and dedicated staff members and contribute to the Commission’s important international work. [read post]
6 May 2015, 7:05 am
According to the article, the SEC staff has been consumed by writing rules for Dodd-Frank for the past four years, practically to the detriment of everything else, and it's not over, not by a long shot.Gallagher wants to spend more time on strengthening the trading system, but Dodd-Frank is taking up all the time.These are all hugely important things that are critical to the agency, but we're not spending time on them because we're doing silly rules like some of the ones… [read post]
20 Sep 2017, 10:05 am
Tom's significant industry experience and leadership prior to and at the SEC will be invaluable to the experienced and dedicated staff in the New York examination program. [read post]
14 Aug 2014, 11:00 am
Most independent firms rely on the assistance of their in-house staffs as well as outside counsel such as my firm, for unique issues that arise, and in insuring that regulators understand the unique issues facing these firms.Larry Roth, the President of Cetera, a network of independent firms, has offered his thoughts on the future of the independent firm. [read post]
2 Aug 2017, 11:13 am
Esau will direct a staff of approximately 40 accountants, examiners, and attorneys responsible for the examination of broker-dealers, investment companies, investment advisers, and transfer agents across five southeastern states (Alabama, Georgia, North Carolina, South Carolina, and Tennessee). [read post]
30 May 2019, 12:06 pm
""It is an honor to continue to work on behalf of the agency and investors, and to lead the deeply talented and dedicated staff of the Office of the Chief Accountant," said Mr. [read post]
10 Oct 2014, 5:30 am
”For more information visit SEC.gov | SEC Staff Issue Risk Alert and FAQs on Customer Sales of Securities---The attorneys at Sallah Astarita & Cox include veteran securities litigators and former SEC Enforcement Attorneys. [read post]
31 Jul 2014, 10:00 am
During that period, Smith & Wesson’s international sales staff engaged in a pervasive effort to attract new business by offering, authorizing, or making illegal payments or providing gifts meant for government officials in Pakistan, Indonesia, and other foreign countries. [read post]
25 Aug 2016, 9:02 am
These records will be useful to the Commission’s examinations staff in evaluating adviser performance claim, and could reduce the incidence of misleading or fraudulent advertising and communications by advisers.The amendments will be published on the Commission’s website and in the Federal Register. [read post]
