Ethics & Training

CFTC Enforcement Program Filings Increase 14 Percent in Fiscal Year 2010

October 5, 2010 - The U.S. Commodity Futures Trading Commission (CFTC) announced today that its enforcement program filed 57 enforcement actions in Fiscal Year (FY) 2010 – 14 percent more than in FY 2009 and 42 percent more than in FY 2008.

Ethics & Training

SEC Issues Report Cautioning Credit Rating Agencies

Aug 31, 2010 - The Securities and Exchange Commission today issued a report cautioning credit rating agencies about deceptive ratings conduct and the importance of sufficient internal controls over the policies, procedures, and methodologies the firms use to determine credit ratings.

Ethics & Training

SEC Freezes Assets of Two Traders in Spain for Insider Trading Around Public Announcement of BHP Acquisition Bid

Aug. 24, 2010 - The Securities and Exchange Commission has charged two residents of Madrid, Spain with insider trading and obtained an emergency court order to freeze their assets after they made nearly $1.1 million in illegal profits by trading in advance of last week's public announcement of a multi-billion dollar cash tender offer by BHP Billiton Plc to acquire Potash Corp. of Saskatchewan Inc.

Ethics & Training

Shira Pavis Minton Named SEC Ethics Counsel

Aug. 5, 2010 - The Securities and Exchange Commission announced today that Shira Pavis Minton has been named as the Commission's Ethics Counsel in the Office of the General Counsel.

Ethics & Training

SEC Charges Former Deloitte Partner and Son With Insider Trading

Aug. 4, 2010 - The Securities and Exchange Commission today charged a former Deloitte and Touche LLP partner and his son with insider trading in the securities of several of the firm's audit clients.

More Articles...