- Mon, 30 Nov 2015 22:35:41 +0000: SEC Enforcement Chief: House Bill Mandating Warrants To Access E-Mail From ... - Financial Advisor Magazine (registration) - "SEC Enforcement Division" - Google NewsSEC Enforcement Chief: House Bill Mandating Warrants To Access E-Mail From ...
Financial Advisor Magazine (registration)
A House bill mandating criminal search warrants before e-mail could be obtained from an Internet service provider would hinder SEC probes, SEC Enforcement Division Director Andrew Ceresney says in written testimony prepared for the House Judiciary ...
- Mon, 30 Nov 2015 17:35:00 +0000: SEC Charges Former Goldman Sachs Employee With Insider Trading - 24/7 Wall St. - "SEC Enforcement Division" - Google News
DealBreakerSEC Charges Former Goldman Sachs Employee With Insider Trading
24/7 Wall St.
The U.S. Securities and Exchange Commission (SEC) announced insider trading charges against a former Goldman Sachs employee who stands accused of stealing nonpublic information in the firm's e-mail system. The agency claims that he then used this ...
Goldman Employee Accused of Insider Trading
CFO all 4 news articles »
- Mon, 30 Nov 2015 14:25:39 +0000: SEC Fines Research Firm $375K Over Compliance - CFO - "SEC Enforcement Division" - Google NewsSEC Fines Research Firm $375K Over Compliance
“Government employees routinely possess and generate confidential market-moving information,” Andrew J. Ceresney, director of the SEC's Enforcement Division, said in a news release. “When political intelligence firms like Marwood Group obtain ...
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- Wed, 25 Nov 2015 20:07:12 +0000: SEC Says Goldman Compliance Employee Stole M&A Secrets - Wall Street Journal - "SEC Enforcement Division" - Google News
Wall Street JournalSEC Says Goldman Compliance Employee Stole M&A Secrets
Wall Street Journal
Joseph Sansone, co-chief of the SEC enforcement division's market abuseunit, said Goldman gave Mr. Han access to confidential information so he could help the firm detect and prevent illegal activity. “But he betrayed that trust by using the ...
SEC Charges Ex-Goldman Sachs Employee with Insider Trading
Ex-Goldman Sachs employee accused of insider trading after spying on M&A bankers
Business Insider all 58 news articles »
- Tue, 24 Nov 2015 19:06:10 +0000: Marwood Group Settles SEC Charges - Wall Street Journal - "SEC Enforcement Division" - Google News
Wall Street JournalMarwood Group Settles SEC Charges
Wall Street Journal
... from government employees, they must take the necessary steps to prevent the dissemination of potentially material, nonpublic information obtained in the course of their research,” said Andrew Ceresney, the head of the SEC's enforcement division.
SEC Settles Insider Activity at Political Intelligence Firm
24/7 Wall St. all 30 news articles »