Tag Archives: SEC

5 Financial News Stories You May Have Missed: Clawbacks and Jelly

by Richard Magrann-Wells, May 10, 2013 | Posted in Financial Services

The stories that mattered in finance this week: clawbacks settlements, Libor, and jelly... Continue reading →

Video: Cyber Trends and Reaction to the SEC’s Cyber Guidelines

by Tom Srail, May 2, 2013 | Posted in Cyber Risk

Last week I had the chance to chat with Colleen McCarthy of WillisTV about trends in the cyber marketplace. To sum up, things are busy in the world of cyber insurance. Lots of claims are coming in and lots of … Continue reading →

5 Financial News Stories You May Have Missed: SEC’s New Driver

by Richard Magrann-Wells, April 19, 2013 | Posted in Financial Services

This week: The SEC appears to have new coordinates in the GPS and a new driver. Continue reading →

#SEC Likes Social Media After All

by Ann Longmore, April 3, 2013 | Posted in Directors & Officers, Financial Services

Last December, the U.S. Securities and Exchange Commission (SEC) took issue with a Chief Executive Officer after he used his Facebook page to provide an update on the company’s business activities. But that was months ago. Continue reading →

5 Financial News Stories You May Have Missed: Wakey-wakey

by Richard Magrann-Wells, March 28, 2013 | Posted in Directors & Officers, Financial Services

This week in financial news: Ponzi schemes, flood insurance, and a surprising electronic twist in Cyprus. Continue reading →

It’s That Magic Time Again: To Review One’s Insider Trading Plans

by Ann Longmore, March 14, 2013 | Posted in Directors & Officers, Financial Services

As you would expect, corporate executives tend to own some of their corporation’s stock and may be receiving it as a form of compensation, especially at public companies. When you consider that these shares may be sold at some point, … Continue reading →

5 Financial News Stories You May Have Missed: Certifiable

by Richard Magrann-Wells, March 1, 2013 | Posted in Financial Services

This week: The Supreme Court, SEC, fraud statute of limitations, class actions, vanishing small banks, and Henry V. Continue reading →

5 Financial News Stories You May Have Missed: Taking Credit

by Richard Magrann-Wells, February 8, 2013 | Posted in Financial Services

This week: S&P, MaryJo White, Dodd-Frank, and The Revenge of the College Graduates Continue reading →

5 Financial News Stories You May Have Missed: Tempting Fate

by Richard Magrann-Wells, February 1, 2013 | Posted in Financial Services

In the news this week: tempting the fates, setting compliance officers free, trickle-down cyber risk, and more. Continue reading →

Not All Crowdfunders Can Be Crowd-pleasers, Even Under the JOBS Act; MA Charges Two

by Ann Longmore, January 14, 2013 | Posted in Financial Services

Frauds happen every day, of almost all sizes and shapes. But when the rules change, as they did with the Jumpstart Our Business Startups (JOBS) Act we get excited, and rightly so, about how the changes may impact the liability … Continue reading →