2013 – SEC ACTIONS

Year: 2013

This Week In Securities Litigation (Week ending August 9, 2013)

Posted on August 08, 2013 by T. Gorman Posted in SECActions

A review of securities enforcement litigation this week.

Tagged with: Insider trading, investment fund fraud, market crisis cases, report of investigation, secactions

The Dispute Over Work Papers for PRC Based Issuers May be About to End

Posted on August 07, 2013 by T. Gorman Posted in SECActions

There are signs that the stand-off between the PCAOB, the SEC and the PRC over audit work papers may be drawing to an end.

Tagged with: PCAOB, PRC, secactions, SOX, work papers