Tag: internal controls

The Newman personal benefit test in insider trading tipping cases is front and center this week as the Supreme Court agreed to consider the issue. The Court passed on the opportunity to consider the question when first presented in Newman …

This Week In Securities Litigation (Week ending January 22, 2016) Read More »

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The former President and CEO of a public company repeatedly charged personal expenses to the firm largely by falsifying documents and records. Although the executive admitted certain misdeeds to internal investigators retained by the company audit committee, when confronted by …

SEC Charges Former CEO, Firm Based On Concealed Perks Read More »

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