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Western Union board wins dismissal of AML derivative complaint
The shareholders fell short of pleading under Caremark that Western Union officers and directors willfully failed to implement an anti-money-laundering compliance program.
New Jersey is second state to propose uniform fiduciary standard
The New Jersey Securities Bureau believes the same fiduciary standard for broker-dealers and investment advisers will protect investors beyond the SEC’s Regulation Best Interest or the current...
SEC Corp Fin, accounting officials weigh in on recent initiatives at SEC Speaks
The panelists tackled topics including recent Corp Fin rulemaking, recommendations about how to disclose issues related to Brexit and LIBOR, and the use of non-GAAP measures.
Hung jury unable to render a verdict for software developer ensnared in spoofing scheme
A deadlocked federal jury voted 10-2 to acquit a Naperville, Illinois computer programmer charged with two counts of aiding and abetting spoofing.
Commissioner Jackson outlines priorities at SEC Speaks
Jackson said he would like to see the Commission revisit current insider trading law and rules regarding Form 8-K disclosure timeframes.