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Entries in Securities and Exchange Commission (8)

Wednesday
May152013

More compliance needed in our government agencies

Here are wise words from Tuesday's post by Ellen Podgor on her White Collar Crime Prof Blog:

Click to read more ...

Wednesday
May152013

Job: Regional Director

Job Title: Regional Director

Organization: Securities and Exchange Commission

Location: San Francisco, CA

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Tuesday
Apr232013

SEC names two enforcement chiefs

The enforcement division's George CanellosThe Securities and Exchange Commission on Monday said acting director George Canellos and former federal prosecutor Andrew Ceresney will share leadership of the enforcement division as co-directors.

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Friday
Nov232012

Internal whistleblower sues SEC and its boss for $40 million

An assistant inspector general at the SEC claims he was fired and defamed after he told Congress about serious lapses inside the agency.

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Thursday
Nov152012

SEC logged 3,001 whistleblower complaints last year

The SEC said today it received 3,001 whistleblower tips during the past fiscal year.

There were 115 FCPA-related complaints.

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Monday
Sep102012

China Corruption Blotter (September 10, 2012)

Deputy Director of Hunan Province Department of Transportation Li Xiaoxi was placed under investigation by the provincial Committee for Discipline Inspection for serious disciplinary violations.

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Wednesday
Sep052012

What, Then, Are Conflict Minerals?

Under the SEC's new 356-page conflict minerals rule, reporting companies must now disclose their use of tantalum, tin, gold, or tungsten mined in the Democratic Republic of the Congo or a contiguous country.

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Wednesday
Sep052012

Six Lessons from the SEC's First Whistleblower Reward

It's not an FCPA case.

But it is the first bounty paid to a whistleblower by the SEC under the 2010 Dodd-Frank Act.

Click to read more ...