Category: SECActions

SEC Issues Report on Cyber-Security Investigations, Internal Controls

Cyber-security has become — or perhaps should be – a key area of concern for every enterprise. The risks are substantial for the firm, its shareholders, executives and customers as recent cases illustrate. Every enterprise large or small is a

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DOJ Charges Three Traders with Spoofing

Spoofing is a form of market manipulation in the commodity markets in which the trader bids or places orders with no intent of executing them. Later they are cancelled. The practice can distort the pricing in the markets and cause

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