Frankly, I’m a little disappointed that I didn’t figure this angle out on my own, given (a) the amount of time I spend writing about insider trading, and (b) the fact that I have two teenagers actively using Snapchat, but hey, better late than never. This morning, the Daily Intelligencer reports, CNBC’s Jim Cramer asked […]
Bruce Carton
Posted inFrom the Archive
Dechert’s Duncan Wiggetts Takes Corporate Training Videos to New Heights
I was impressed with the video-making talents of WilmerHale’s Jonathan Shapiro (who took an article he had written on SEC enforcement in the private equity area and turned it into a slick video interview) so you know I’m pretty blown away by the work I just came across by Duncan Wiggetts, a partner at law firm Dechert […]
Posted inFrom the Archive
Web Watch: Best of the Week Ending July 12, 2013
Throughout the week over at Securities Docket I highlight the most interesting columns and blog posts from around the web on the subjects of SEC enforcement and securities litigation. Here is a digest of my picks for the week ending July 12, 2013. Four Things to Look for in “Fabulous Fab” Trial Jan Wolfe, The Litigation Daily A jury […]
Posted inRegulatory Enforcement
SFC’s Case Against Hedge Fund Tiger Asia and Execs Back on Track
I noted here previously that as part of an insider trading case against hedge fund Tiger Asia, Hong Kong’s Securities and Futures Commission was seeking a court order to ban Tiger Asia from trading in the country–the first time that the SFC had ever sought such a ban. The case was derailed for several years but a […]
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The UK Bribery Act Two Years On: What Was All the Fuss About?
As I discussed in detail here this week, two full years have now passed since the U.K. Bribery Act took effect on July 1, 2011. In that time, a whole lot of nothing has transpired in terms of enforcement of the Act–at least on the surface. There are, however, signs that a number of investigations […]
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Why the U.K. Has Failed to Bring Significant Bribery Act Cases
Two years have now passed since the U.K. Bribery Act took effect on July 1, 2011. Although entire forests were probably sacrificed to provide sufficient paper for the countless law firm memos that followed to warn the business community of the new compliance risks, enforcement actions under the Bribery Act have been nearly nonexistent to […]
Posted inRegulatory Enforcement
SEC Names Julie Riewe and Marshall Sprung to Lead Asset Management Unit
On Monday, the SEC announced that Julie M. Riewe and Marshall S. Sprung will be the new Co-Chiefs of the Division of Enforcement’s Asset Management Unit. Riewe and Sprung, who have been serving as deputy chiefs of the Asset Management Unit since May 2012, will together succeed former unit chief Bruce Karpati, who left the agency […]
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SEC’s Rolls Out New Financial Reporting and Audit Task Force
The SEC’s Enforcement Division announced three new initiatives yesterday that are intended to reallocate its resources on areas identified as “high-risk” and better use technology in its investigations. Most notably, following a number of recent statements from the agency that its new leadership intends to renew its focus on financial fraud, the SEC announced that the creation […]
Posted inRegulatory Enforcement
Web Watch: Best of the Week Ending June 28, 2013
Throughout the week over at Securities Docket I highlight the most interesting columns and blog posts from around the web on the subjects of SEC enforcement and securities litigation. Here is a digest of my picks for the week ending June 28, 2013. Financial Fraud Specialists at the SEC David Smyth, Cady Bar the Door The breadth of rules […]
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‘More Targeted Resources’ On the Way for SEC’s Financial Fraud Enforcement
At the end of May, I noted in this column that after a decade of declining numbers of financial fraud cases, there were suddenly signs that the SEC’s new Chairman, Mary Jo White, intended to turn the tide. Reports in late May that the agency was poised to announce a reallocation of enforcement resources to […]
