Topic
Securities Penalties
5 published works
Canadian Lawyer Mag
Bankruptcy can scrub securities commission administrative penalties but not disgorgement order: SCC
Decision released this morning dealt with s. 178(1) of the Bankruptcy and Insolvency Act
Cleary Foreign Investment and International Trade Watch
Current Status of Restrictions on Securities of Chinese Military Companies
By Paul Marquardt, Chase D. Kaniecki, Samuel H. Chang
As noted in our previous blog post, Executive Order (EO) 13959 introduced novel sanctions prohibiting U.S. persons from purchasing publicly traded securities (debt or equity) issued by companies designated by…
Regulatory & Compliance Update
Quantitative Investment Manager Sanctioned by the SEC: Lessons for Private Fund Managers
On Aug. 27, 2018, the U.S. Securities and Exchange Commission announced settlements with a U.S.-based registered investment adviser, several of its affiliates and two of its executives for alleged misconduct…
Securities Compliance Sentinel
PENALTIES ARE NOW IMPORTANT IN SEC CASES AFTER GABELLI
While the U.S. Supreme Court’s Gabelli decision is significant in terms of its impact on the SEC’s penalty actions, the interesting unresolved issue is if the courts will consider certain…
White Collar Crime Prof Blog
SEC Announces Principles for Imposing Penalties on Companies
By Ellen Podgor
SEC Chairman Christopher Cox has cobbled together a set of principles (here) regarding when the Commission will impose civil penalties on companies ("issuers") who run afoul of the federal securities…