Search for: "Bruce Carton" Results 61 - 80 of 253
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4 Jan 2013, 5:00 am by Doug Cornelius
Khuzami Posts Blog Comment Defending SEC’s Record, Policies by Bruce Carton in Compliance Week In a December 27 post, Johnson wrote that as Robert Khuzami will reportedly soon step down as Director of Enforcement at the SEC, “the Obama administration should press for the appointment of Neil Barofsky, former special inspector general for the Troubled Asset Relief Program, to this position. [read post]
4 Jan 2013, 5:00 am by Doug Cornelius
Khuzami Posts Blog Comment Defending SEC’s Record, Policies by Bruce Carton in Compliance Week In a December 27 post, Johnson wrote that as Robert Khuzami will reportedly soon step down as Director of Enforcement at the SEC, “the Obama administration should press for the appointment of Neil Barofsky, former special inspector general for the Troubled Asset Relief Program, to this position. [read post]
21 May 2015, 5:00 am by Doug Cornelius
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]
31 May 2013, 7:57 am by Doug Cornelius
Professional SEC Whistleblower Firm Seeks Investors to Finance Investigations by Bruce Carton in Compliance Week Now, it appears that the first generation of professional whistleblowers is upon us. [read post]
31 May 2013, 7:57 am by Doug Cornelius
Professional SEC Whistleblower Firm Seeks Investors to Finance Investigations by Bruce Carton in Compliance Week Now, it appears that the first generation of professional whistleblowers is upon us. [read post]
14 Mar 2014, 5:00 am by Doug Cornelius
Behind the Myth of Insider Trading by SEC Employees by Bruce Carton in Compliance Week The authors also point to six specific cases in which “SEC employees appear to front-run the announcement that a firm is subject to costly SEC penalties (associated with the enforcement action). [read post]
17 Jul 2009, 12:02 pm
Cuban from Bruce Carton for Securities Docket The SEC v. [read post]
20 Dec 2012, 5:00 am by Doug Cornelius
Securities and Exchange Commission Best Practices for Hedge Funds to Navigate Their Own ‘Misaligned Incentives’ by Bruce Carton in Compliance Week SEC Enforcement Division’s Private Equity Initiative in Compliance Avenue Dawn of the Zombie Funds [read post]
20 Dec 2012, 5:00 am by Doug Cornelius
Securities and Exchange Commission Best Practices for Hedge Funds to Navigate Their Own ‘Misaligned Incentives’ by Bruce Carton in Compliance Week SEC Enforcement Division’s Private Equity Initiative in Compliance Avenue Dawn of the Zombie Funds [read post]
26 Sep 2016, 5:30 am by Doug Cornelius
Cuban from Bruce Carton for Securities Docket The SEC v. [read post]
20 Oct 2009, 4:00 am
” References: SEC Charges Billionaire Hedge Fund Manager Raj Rajaratnam with Insider Trading – SEC Press Release SEC Complaint Against Rajaratnam, Galleon, and others – hosted on JD Supra A Zero Percent Chance of Success by Bruce Carton on Enforcement Action "Zero Percent Chance" Case Gets Worse by Bruce Carton on Enforcement Action US v. [read post]
16 Feb 2009, 10:00 pm
Please join Bruce Carton, Editor of Securities Docket, and me for a webcast that will discuss the best new tools and strategies available to securities and compliance counsel and professionals. [read post]
8 Feb 2009, 10:59 pm
Please join Bruce Carton, Editor of Securities Docket, and me for a webcast that will discuss the best new tools and strategies available to securities and compliance counsel and professionals, including: RSS; Social Media, such as Twitter, LinkedIn, and Facebook; Blogs; and much more. [read post]
30 May 2012, 6:28 am by rgeorges
(Apologies to Bruce Carton, whose "You Can't Do That On A Plane:" series is always entertaining). [read post]
6 Jan 2011, 12:58 pm by rgeorges
Bruce Carton has discovered this video from The Daily Show, in which Aasif Mandvi skewers the sponsor of the bill: The Daily Show With Jon Stewart Mon - Thurs 11p / 10c San Francisco's Happy Meal Ban www.thedailyshow.com Daily Show Full Episodes Political Humor & Satire Blog The Daily Show on Facebook [read post]
17 Feb 2009, 6:40 am
Follow Bruce Carton on Twitter: @brucecarton Follow Doug Cornelius on Twitter: @DougCornelius Slides: Web 2.0 - Leveraging New Media to Maximize Your Securities & Compliance Practice View more presentations from Doug Cornelius. [read post]
12 Apr 2013, 5:00 am by Doug Cornelius
Hedge Fund Survey Shows Misconduct Believed to be Widespread by Bruce Carton in Compliance Week A recent survey of hedge fund professionals indicates that misconduct is widespread in the industry, and that a very large percentage of professionals in the industry are prepared to report wrongdoing under a program such as the SEC’s new whistleblower program under Dodd-Frank. [read post]
12 Apr 2013, 5:00 am by Doug Cornelius
Hedge Fund Survey Shows Misconduct Believed to be Widespread by Bruce Carton in Compliance Week A recent survey of hedge fund professionals indicates that misconduct is widespread in the industry, and that a very large percentage of professionals in the industry are prepared to report wrongdoing under a program such as the SEC’s new whistleblower program under Dodd-Frank. [read post]
6 Aug 2010, 5:00 am by Doug Cornelius
Here are some ways to botch the effort to become a leader: … Changes in Securities Enforcement Thanks to Dodd-Frank by Bruce Carton in Securities Docket Only a portion of the Dodd-Frank Act is directed at enforcement of securities laws by the Securities and Exchange Commission. [read post]