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Trials Are About Truth; Consent Decrees Are About Pragmatism

I recently wrote about Judge Rakoff’s refusal to enter the SEC’s proposed consent decree in SEC v. Citigroup Global Markets, Inc., 827 F. Supp. 2d 328 (SDNY 2011) – and the shift in SEC enforcement policy that it prompted. ...more

Infobytes - August 17 2012 - A Weekly In-depth review of news & developments in the financial services industry.

TOPICS COVERED THIS WEEK - FEDERAL ISSUES - MORTGAGES - BANKING - CONSUMER FINANCE - SECURITIES - E-COMMERCE - PRIVACY/DATA SECURITY Excerpt From Federal Issues: CFPB...more

Former Chairman of Wm Morrison Supermarkets Plc Fined for Breach of Share Disclosure Rules

On August 16, the UK Financial Services Authority (FSA) announced that it had published a final notice imposing a penalty of £210,000 (approximately $350,000) on Sir Ken Morrison (KM), the former chairman of Wm Morrison...more

California’s Big EASI

My friend, Bill Twomey, suggested a post describing how to get copies of securities and franchise filings made with the Department of Corporations. It’s actually pretty easy. The DOC maintains the California Electronic...more

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