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Self-reporting ICO dodges penalty for failure to register
Although Gladius Network failed to register its post-DAO initial coin offering, the SEC declined to impose a penalty based on its self-reporting and prompt remediation.
SEC proposes to allow all issuers to ‘test-the-waters’ prior to offerings
The proposal would provide all issuers and investments companies with a means by which to gauge market interest in a possible offering by permitting discussions with certain investors before filing a...
Bribery of Indian government officials costs Cognizant $25 million
Company’s president and chief legal officer authorized payment, hiding of bribe to facilitate building of Cognizant’s campus in India.
Conference bill emerges to fund SEC and CFTC through FY 2019
The conference report boosts the SEC’s funding while reducing the CFTC’s funding versus prior legislation House Democrats tried to enact in January, but funding levels are mostly...
Apple’s senior attorney charged with insider trading
The attorney’s insider trading, which netted him $382,000 in profits and avoided losses, was exacerbated by his being the director for implementing the company’s anti-insider trading...