Daily Update from Securities Docket

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• Securities Docket A.M. News Wire for June 18, 2010
• India: SEBI Charges Insider Trading at HDFC Mutual Fund
• Litigation Settlements Can Also Be ‘Inside Information’
• Report: SEC Ends Probe of AIG and Executives
• Senators Reject House Plan to Reverse Stoneridge, Widen Scope of Fraud Lawsuits
• UK: Kenneth Clarke Appointed ‘International Anti-Corruption Champion’
• SEC opens inquiry after former staffer joins Getco
• SEC Steps Up to the Muni Plate

Securities Docket A.M. News Wire for June 18, 2010 Posted: 18 Jun 2010 03:55 AM PDT India: SEBI Charges Insider Trading at HDFC Mutual Fund http://p2.to/Ttu # Litigation Settlements Can Also Be 'Inside Information' http://p2.to/Ttn # Report: SEC Ends Probe of AIG and Executives http://p2.to/Tt1 # Senators Reject House Plan to Reverse Stoneridge, Widen Scope of Fraud Lawsuits http://p2.to/TrG # Senator Grassley, Professor Frankfurter and the Revolving Door at the SEC http://p2.to/Trf # UK: Kenneth Clark Appointed Anti-Corruption Champion http://p2.to/TqN # UK FSA’s Sants: Regulatory Structure Not Key To Better Oversight http://p2.to/TqL # SEC opens inquiry after former staffer joins Getco http://p2.to/TqI # House, Senate Reportedly Agree on SEC Self-Funding. http://bit.ly/c60zp8 # DOJ, SEC Bring Actions Against Farkas … In Virginia. http://bit.ly/aORIsl # UK: They won’t miss the FSA. http://bit.ly/bLR9g9 # Ernst & Young’s Lehman Work Is Probed by Regulator. http://bit.ly/9xmo0k # US Rep Frank Says He Supports SEC Self-Funding In Financial Bill. http://bit.ly/bBI98D # Dell May Hold Road Map for Goldman and S.E.C. http://p2.to/Tob #

India: SEBI Charges Insider Trading at HDFC Mutual Fund Posted: 17 Jun 2010 01:04 PM PDT In Mumbai, India, market regulator SEBI has detected a case of insider trading in HDFC Mutual Fund that led to an estimated loss of nearly Rs 2.4 crore for the fund house’s investors. The Times of India reports that SEBI has banned four people, including one of HDFC Mutual Fund’s equity dealers, who indulged in ‘front running’ on information provided by Kapadia for personal gains. The Times of India: Insider trading at HDFC Mutual Fund

Litigation Settlements Can Also Be ‘Inside Information’ Posted: 17 Jun 2010 12:32 PM PDT The SEC announced the settlement of an insider trading case today that involves a form of material, nonpublic information that is somewhat unusual in such cases: the litigation settlement offer. Full details are available in  this post on my Enforcement Action blog over at Compliance Week.

Report: SEC Ends Probe of AIG and Executives Posted: 17 Jun 2010 11:56 AM PDT The SEC has closed an investigation of American International Group and some of its executives over the giant insurer’s near collapse in 2008 that led to a $182 billion government bailout, Reuters reports. The agency reportedly ended its probe focusing on AIG Financial Products head Joseph Cassano and others several weeks after the Department of Justice closed its criminal investigation in May. Reuters: SEC said to end probe of AIG and executives

Senators Reject House Plan to Reverse Stoneridge, Widen Scope of Fraud Lawsuits Posted: 17 Jun 2010 08:09 AM PDT Senators on Wednesday beat back a House measure giving shareholders the power to sue third parties such as banks and accountants not directly involved in securities fraud. The House proposal would have reversed the Supreme Court’s 2008 decision in the Stoneridge case that protects third parties not directly involved in securities fraud. Reuters: Senators nix plan to widen scope of fraud suits

UK: Kenneth Clarke Appointed ‘International Anti-Corruption Champion’ Posted: 17 Jun 2010 07:06 AM PDT In the UK, the Ministry of Justice announced this week that Justice Secretary Kenneth Clarke has been appointed as the United Kingdom's new international anti-corruption champion. “This demonstrates the coalition government’s clear commitment to transparency and accountability and recognises the significant cost of international corruption to our economy,” the Ministry of Justice stated. Clarke stated that the “champion role sends out a clear message that the UK coalition government will not tolerate bribery or corruption and that we will work together to stamp out these practices across the board.” His focus will specifically include the implementation of the Bribery Act 2010. Read the Ministry of Justice press release

SEC opens inquiry after former staffer joins Getco Posted: 17 Jun 2010 06:54 AM PDT The SEC’s inspector general has opened a probe into a former high-ranking staffer’s move to trading firm Getco LLC. SEC Inspector General H. David Kotz disclosed the inquiry in a letter to Senator Charles Grassley. Reuters: SEC opens inquiry after former staffer joins Getco

SEC Steps Up to the Muni Plate Posted: 17 Jun 2010 06:50 AM PDT The SEC is stepping up its enforcement efforts in the municipal securities market for the first time in more than a decade, with a staff of roughly 30 attorneys charged with investigating and trying muni and public pension fund cases. The first of the enforcement actions may become public by as early as this summer. The Bond Buyer: SEC Steps Up to the Muni Plate

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