Daily Update from Securities Docket |
- Securities Docket News Wire for Sept. 4, 2010
- Web Watch: Best of the Week Ending Sept. 3
- BAE’s Corporate Monitor Tests the ‘Optics’ of Independence
- Will Dodd-Frank Spawn Professional Whistleblowers?
Securities Docket News Wire for Sept. 4, 2010 Posted: 04 Sep 2010 05:05 AM PDT
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Web Watch: Best of the Week Ending Sept. 3 Posted: 03 Sep 2010 02:07 PM PDT Throughout the week, I collect the most interesting columns and blog posts from around the web on the subjects of SEC enforcement and securities litigation. A digest of my picks for the week ending September 3 is available in this post on my Enforcement Action blog over at Compliance Week. |
BAE’s Corporate Monitor Tests the ‘Optics’ of Independence Posted: 03 Sep 2010 02:04 PM PDT The FCPA Professor, Mike Koehler, asked an interesting question on his blog yesterday: "Is BAE's Monitor Independent?" I take a look at that issue in this post on my Enforcement Action blog over at Compliance Week. |
Will Dodd-Frank Spawn Professional Whistleblowers? Posted: 03 Sep 2010 01:53 PM PDT Dodd-Frank’s whistleblower provisions are not limited to employees of the company in question, but can be any individual who provides information relating to a violation of the securities laws to the Commission. This appears to open the door to the next generation of operations like Mark Cuban's ShareSleuth, which employed an investigative journalist to look for public companies that appeared to be engaging in financial fraud. Full details are available in this post on my Enforcement Action blog over at Compliance Week. |
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Daily Update from Securities Docket Part 1
Daily Update from Securities Docket Part 1
Daily Update from Securities Docket Part 1
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