- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
Enforcement blogger Bruce Carton looks at a recent insider trading case, in which South Africa’s securities regulator agreed to reduce the defendant’s penalty because he claimed he “did not apply his mind to the applicable legislation at the time of the trading” but was now deeply sorry for his actions.
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A case before the Supreme Court and two bills in Congress could finally establish a national legal definition for insider trading. Joe Mont reports.
Capital One promised very high interest rates on millions of savings accounts but the bank didn’t deliver, losing customers more than $2 billion, the Consumer Financial Protection Bureau alleged.
Robinhood, a disruptive force in the market for Main Street investors but also a serial offender of securities laws, will pay a total of $45 million to settle numerous violations of SEC rules and regulations by two of its broker-dealers.
