Topic: Zero Tolerance

SEC Fines 23 Firms for Illegal Short Selling – Lessons for All Investment Firms

“In announcing the enforcement actions, Andrew J. Ceresney, Co-Director of the SEC’s Division of Enforcement, emphasized that the Staff has ‘zero tolerance for any securities violations, including violations that do not require manipulative intent.’” (BakerHostetler) In mid-September, the Securities and Exchange Commission charged 23 investment firms with violating an SEC rule that prohibits firms from… Read more »

JD Supra Corporate Brief: Leased Photocopiers, Zero Tolerance, Big Data, Elder Abuse

Plan to sneak out of the office a little early today? Better read the JD Supra Corporate Brief right now then: What’s a leased photocopier going for under the new HIPAA regime? About the same as a lost laptop… (Polsinelli) The SEC’s “Zero Tolerance” policy is paying off… (BakerHostetler) According to a recent survey, companies… Read more »