Please join Fox Rothschild LLP’s Security Industry Group members, Patrick Egan and Chuck DeMonaco, for a timely discussion on insider trading and the effect of the pandemic on those investigations.
Continue Reading Fox Rothschild LLP’s Securities Industry Group Members Patrick Egan and Chuck DeMonaco Present an Insider Trading Webinar
Earlier this week, the Securities and Exchange Commission agreed to settle charges with a company related to prevention and detection of potential insider trading. The SEC alleged that the company
Continue Reading SEC Cracks Down on Compliance and Surveillance Failures
It is bad enough that firms and publicly traded companies have to make sure that their respective IT architecture is safe and secure, but recent developments demonstrate that you have
Continue Reading What Do Insider Trading And Data Breaches Have In Common
The U.S. District Court for the Southern District of New York dismissed a New York law malpractice and fraud claims by convicted inside trader Winifred Jiau against her former attorney.
Continue Reading Convicted Inside Trader Cannot Sue Former Counsel
New York Attorney General Eric Schneiderman is pushing for better cooperation with the financial industry and federal lawmakers to combat emerging insider-trading threats. While he commended competition among financial services
Continue Reading NEW YORK AG PUSHES FOR COLLABORATION TO COMBAT NEW FORMS OF INSIDER TRADING
Now that 2014 is here, it is a good idea to understand what the Enforcement Division might focus on this year. In a recent article that appeared in the BNA,
Continue Reading What To Expect In 2014 From The SEC’s Enforcement Division
There is concern over the increasing collaboration between the Securities and Exchange Commission’s Enforcement Division and Office of Compliance Inspections and Examinations.
The SEC views this collaboration as efficient while
Continue Reading SEC Exam and Enforcement Converging Into One?
The SEC’s Office of Compliance Inspections and Examinations has issued a report on broker-dealers’ handling of confidential information. The SEC’s examiners looked at broker-dealers’ compliance with the requirements governing the
Continue Reading Preventing Misuse of Material Information by BDs
The Securities and Exchange Commission has not reached a conclusion if there will be change to the Exchange Act Rule 10b5-1 stock trading plans, if it should amend the rule,
Continue Reading Rule 10B5-1 Plans in Flux
A court has held that the privacy rights of thousands of high-level federal employees could be violated if a provision of the Stop Trading on Congressional Knowledge Act (“STOCK Act”)
Continue Reading THOSE IN POWER WIN ANOTHER ONE