Search for: "Bruce Carton"
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11 Jan 2013, 5:00 am
‘They Owe It to Me’: FBI Identifies Top Email Phrases Used by Fraudsters by Bruce Carton in Compliance Week According to research conducted by Ernst & Young in collaboration with the FBI, these phrases are among the top terms used by employees in emails discussing fraud. [read post]
18 Dec 2015, 5:00 am
[More…] CFTC Brings First Insider Trading Case by Bruce Carton in Compliance Week Until last week, the CFTC had never been brought an insider trading case for commodities trading. [read post]
11 Jan 2013, 5:00 am
‘They Owe It to Me’: FBI Identifies Top Email Phrases Used by Fraudsters by Bruce Carton in Compliance Week According to research conducted by Ernst & Young in collaboration with the FBI, these phrases are among the top terms used by employees in emails discussing fraud. [read post]
20 Mar 2014, 5:00 am
References: SEC Says Insider Ring Ate Napkins, Created Phony Documents to Hide Scheme by Bruce Carton in Compliance Week SEC Charges Stockbroker and Law Firm Managing Clerk in $5.6 Million Insider Trading Scheme SEC complaint against Eydelman and Metro Law clerk, stock broker charged in new jersey with trading on inside information stolen from prominent new york law firm Criminal complaint US v. [read post]
11 Mar 2010, 9:00 am
There should be some great compliance bloggers there: Francine McKenna of re: The Auditors, Bruce Carton of Securities Docket, Tom Fox of Tfoxlaw's Blog (he needs a better name for his blog), Alex Howard of SearchCompliance.com, and Compliance Week Editor In Chief Matt Kelly For a change of pace, I'm speaking at Pax East on March 26 on Bringing up the Next Generation of Geeks. [read post]
21 Nov 2014, 5:00 am
SEC: Sending Saudi Officials on ‘World Tour’ Was FCPA Violation by Bruce Carton in Compliance Week In case there was any ambiguity that companies may not send foreign government officials on a “world tour” in order to secure business, the SEC made that clear yesterday. [read post]
1 Mar 2013, 8:00 am
People Need to Stop Selling Earnings Info to Undercover FBI Agents by Bruce Carton in Compliance Week Unfortunately, the saying “those who don’t know history are destined to repeat it” has once again turned out to be quite accurate. [read post]
14 May 2010, 5:00 am
A Glimpse Into SEC Enforcement, by Way of Goldman by Bruce Carton in Securities Docket In a time of ongoing heightened scrutiny for the Securities and Exchange Commission, many current and former leaders of the SEC’s Division of Enforcement met recently for an extraordinary panel discussion at the National Press Club in Washington, D.C. [read post]
12 Mar 2010, 5:00 am
FCPA Enforcement in 2010: Prepare for Blastoff by Bruce Carton in Securities Docket When Assistant Attorney General Lanny Breuer was recently asked to comment on enforcement of the Foreign Corrupt Practices Act in 2009, he minced no words: “One can say without exaggeration that this past year was probably the most dynamic single year in the more than 30 years since the FCPA was enacted. [read post]
23 Apr 2009, 4:00 am
Schapiro Video of the Rountable (.wmv) SEC's Schapiro: "Intense Review" of Rating Agencies Needed by Bruce Carton of Enforcement Action (Requires Compliance Week Subscription) SEC Puts Ratings Firms on Notice by Kara Scanell for WSJ.com Credit Agency Reform Act of 2006 (.pdf) The Risk Management Formula That Killed Wall Street Credit Raters Plead the First. [read post]
18 Mar 2009, 5:32 am
See: Revenue Procedure 2009-20 (.pdf) Revenue Ruling 2009-9 (.pdf) IRS issues guidelines to assist Madoff victims by AccountingWeb IRS Issues Guidance for Investors in Ponzi Schemes by Jim Hamilton's World of Securities Regulation Commissioner Shulman’s Senate Finance Testimony on Ponzi Schemes and Offshore Tax Evasion Legislation IRS: Madoff Victims Can Deduct Up to 95% of Investment Loss by Bruce Carton of Securities Docket Can You Prevent Ponzi Schemes? [read post]
17 Mar 2009, 8:45 am
If you want a whistleblower program in France, you need to register it with the CNiL and it must be limited to reports about the “vital interests of the company or it its employee's physical or mental integrity” See: Paris Pulls the Plug on Enforcement by Richard Cassin of The FCPA Blog France restricts international corruption investigations by Valentina Pop for the EUObserver.com Group of States against Corruption publishes report on France by GRECO Third… [read post]
9 Jan 2015, 5:00 am
SEC Fights ‘Pre-taliation’ Against Dodd-Frank Whistleblowers by Bruce Carton in Compliance Week According to whistleblower lawyer Erika Kelton, companies that fear Dodd-Frank whistleblower programs are aggressively trying to squash potential tips to the SEC through a practice the agency has dubbed “pre-taliation. [read post]
14 Apr 2009, 4:00 am
See: For Corporate Lawyers, There’s Just One Client by Kara Scannell for the Wall Street Journal Judge Carney's Broadcom Ruling Grabs Attention of White Collar Bar by Bruce Carton for Securities Docket A Case of Divided Loyalties by Kevin M. [read post]
11 Aug 2016, 6:16 am
Sources: SEC Action for Stifling Whistleblowers in Confidentiality Agreements SEC Penalizes Company Over Restrictive Severance Agreements by Samuel Rubenfeld in the Wall Street Journal Company Paying Penalty for Violating Key Whistleblower Protection Rule SEC order against BlueLinx The Rise of the Professional Whistleblower Whistleblowers Are Poised to Collect $100 Million Hybrid group of professional whistleblowers and insiders on cusp of huge awards by Bruce Carton [read post]
1 Mar 2013, 8:00 am
People Need to Stop Selling Earnings Info to Undercover FBI Agents by Bruce Carton in Compliance Week Unfortunately, the saying “those who don’t know history are destined to repeat it” has once again turned out to be quite accurate. [read post]
8 Sep 2010, 5:00 am
SEC Cautions Rating Agencies about Deceptive Ratings Conduct and Internal Controls by Barbara Black in Securities Law Prof Blog SEC Cautions Credit Agencies on Deceptive Conduct by Bruce Carton in Compliance Week‘s Enforcement Action Credit Rating Agencies and Conflicts of Interest – prior Compliance Building post [read post]
21 Feb 2014, 8:30 am
Mark Cuban Visits D.C. to Speak About SEC Case, Enforcement Policy by Bruce Carton in Compliance Week Cuban repeated a criticism that he also made from the courthouse steps in October following his victory at trial: that the securities laws, including the insider trading laws, are ineffective because the public often has no idea what is legal and what is illegal. [read post]
21 May 2010, 5:00 am
Has Jurisdiction Over Fraud at Public Cos. by Bruce Carton for Compliance Week’s Enforcement Action So why is Mr. [read post]
18 Feb 2016, 7:32 am
Sources: SEC: Deutsche Bank Analyst Issued Stock Rating Inconsistent With Personal View SEC order Regulation Analyst Certification Ex-Deutsche Bank Analyst to Pay $100,000 Over Ratings by Liz Moyer in DealBook SEC dusts off Reg AC to charge former Deutsche Bank analyst by Bruce Carton in Compliance Week [read post]
