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2 Oct 2015, 5:00 am
The Curious Incident of the ‘Life Coach’ and the Press Release by Bruce Carton in Compliance Week As I’ve observed before, the SEC loves to craft press release headlines that feature defendants’ interesting or high-profile jobs. [read post]
15 Sep 2015, 7:05 am
Sources: SEC Obtains $30 Million From Traders Who Profited on Hacked News Releases SEC Charges 32 Defendants in Scheme to Trade on Hacked News Releases ‘Outsider Trading’ Crackdown Announced by Bruce Carton in Compliance Week The SEC’S “Outsider Trading” Dragnet by John Reed Stark in Cybersecurity Docket Ukrainian Firm, CEO to Pay $30 Million to Settle SEC Charges by Chelsey Dulaney in the Wall Street Journal [read post]
14 Aug 2015, 5:00 am
Beware the ‘SEC Impersonator’ Scams Targeting Your Money by Bruce Carton in Compliance Week You might not think that fraudsters impersonating the SEC would be a significant or ongoing problem but the volume of the SEC’s “Investor Alerts” on this topic would seem to suggest otherwise. [read post]
31 Jul 2015, 6:00 am
AP Offers Up New Treasure Trove of SEC-Related Videos by Bruce Carton in Compliance Week The Associated Press and British Movietone announced on Wednesday of last week that they have made more than 550,000 video stories dating from 1895 to the present available on their YouTube channels. [read post]
17 Jul 2015, 5:00 am
Chamber: 28 Recommendations on SEC Enforcement Practices by Bruce Carton in Compliance Week The report offers several recommendations about a topic that is currently generating considerable controversy: SEC administrative proceedings. [read post]
2 Jul 2015, 5:46 am
by Bruce Carton in Compliance Week The DOJ sees your Pinterest account, SEC, and raises you an Instagram account! [read post]
11 Jun 2015, 5:00 am
Bruce Carton’s CyberSecurity Docket hosted a great webinar on cyber insurance. [read post]
21 May 2015, 5:00 am
Former SEC Chairman Cox Weighs in on Administrative Proceedings by Bruce Carton in Compliance Week On Wednesday, former SEC Chairman Christopher Cox offered his own interesting perspective on the SEC’s use of administrative proceedings. [read post]
12 May 2015, 5:00 am
Sources: Division of Enforcement Approach to Forum Selection in Contested Actions (.pdf) SEC Enforcement Releases ‘Approach to Forum Selection in Contested Actions’ by Bruce Carton in Compliance Week SEC Publishes A Memo On Forum Selection by Thomas O. [read post]
1 May 2015, 5:00 am
Selerity Strikes Gold with Early Look at Twitter Earnings Release by Bruce Carton in Compliance Week According to Mashable, Selerity did not simply stumble upon the earnings release. [read post]
24 Apr 2015, 5:25 am
Advocacy Groups Looking for an SEC Superhero by Bruce Carton in Compliance Week Today, it appears, the SEC chair must be prepared for far more creative scrutiny, and in very different venues. [read post]
10 Apr 2015, 5:00 am
SEC Brings First Action on Whistleblower ‘Pre-taliation’ by Bruce Carton in Compliance Week The SEC has warned for some time now that it views companies’ attempts to potentially intimidate employees from coming forward as whistleblowers through confidentiality agreements as a form of retaliation — or “pre-taliation,” as the SEC’s Sean McKessy has dubbed it. [read post]
27 Mar 2015, 6:00 am
SEC Loses an AP for First Time Since FY 2013 by Bruce Carton in Compliance Week In FY 2014, however, the SEC maintained 100% perfection in its administrative proceedings. [read post]
20 Feb 2015, 6:48 am
Feds: Employee Impersonated Firm’s President in SEC Inquiry by Bruce Carton in Compliance Week Yesterday, federal prosecutors in the Southern District of New York announced that they have charged Steven Hart with obstruction of justice and perjury relating to an SEC investigation. [read post]
16 Jan 2015, 5:37 am
SEC Enforcement – An Analysis of Key Developments in 2014 by Bruce Carton in Compliance Week In a webcast I moderated yesterday, a panel consisting of four former senior SEC enforcement attorneys and accountants–including former SEC Enforcement Director Bill McLucas of law firm WilmerHale–analyzed the most important developments in SEC enforcement from 2014, and looked ahead at what they expect in 2015. [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]
5 Dec 2014, 5:00 am
” 2015 SEC Trial Scorecard Update: Agency is Undefeated After Two Trials by Bruce Carton in Compliance Week To date in FY 2014 (which began on October 1, 2014), the SEC has had two trials in federal court reach a verdict. [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]
7 Nov 2014, 4:00 am
Gallagher: Dodd-Frank Has SEC ‘Shoveling Manure’ for ‘No Discernible Purpose’ by Bruce Carton in Compliance Week In his latest attack on the law he recently called “Dodd-Frankenstein,” SEC Commissioner Daniel S. [read post]
24 Oct 2014, 5:00 am
SEC Breaks Down FY 2014 Enforcement Results, Highlights by Bruce Carton in Compliance Week Late last week, the SEC issued a press release summarizing its enforcement results for the agency’s fiscal year 2014, which ended September 30, 2014. [read post]
