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February 14, 2005
Credit rating agencies
...operating margins in excess of 50 per cent and strong cash flow. Its shares have...US with rival Standard & Poor's and smaller competitor Fitch. Would...an uphill battle. Since 1975, the Securities and Exchange Commission has designated only a few agencies...competition will ensure that Moody's et al are subject to the market forces that...
February 13, 2005
Lex: Credit rating agencies
...operating margins in excess of 50 per cent and strong cash flow. Its shares have...together with rival Standard & Poor's and smaller competitor Fitch. Would...an uphill battle. Since 1975, the Securities and Exchange Commission has designated only a few agencies...competition will ensure that Moody's et al are subject to the market forces that...
April 4, 2008
Paulson financial regulation plan is breathtakingly wrong-headed
...regulator model adopted by Australia and the Netherlands is useful, but vastly...between the comptroller of the currency and the Federal Deposit Insurance Corporation...wisely would combine the CFTC with the Securities and Exchange Commission, a consolidation long overdue...recent abuses (Enron, WorldCom, et al) alone, but also given the long...
11:06am
Judge questions BofA settlement
...in corporate governance and disclosure, including on...resolve two lawsuits by the Securities and Exchange Commission against the largest US bank...executive Kenneth Lewis and former chief financial officer...48 on the New York Stock Exchange.The federal cases are...vs Bank of America Corp et al, New York State Supreme... By
January 17, 2005
Not so Anglo
...to shareholders than in the UK. And the law in relation to auditing tends...emphasis on promoting efficiency in securities markets than on enhancing management...business resisting successfully the Securities and Exchange Commission's very modest attempt to secure...Myners, Higgs, Sandler, Morris et al were intended to address weaknesses... By John Plender
January 16, 2005
John Plender: A big shake-up pension trustees
...to shareholders than in the UK. And the law in relation to auditing tends...emphasis on promoting efficiency in securities markets than on enhancing management...business resisting successfully the Securities and Exchange Commission's very modest attempt to secure...Myners, Higgs, Sandler, Morris et al were intended to address weaknesses... By John Plender
August 15, 2008
SEC settles with ex-Apple lawyer
...come to an end yesterday after the Securities and Exchange Commission ann-ounced it had reached a settlement...former top lawyer. The leading US securities regulator said Nancy Heinen, one of two former top Apple executives...grants, had agreed to pay $2.2m and accept a five-year ban on serving... By Kevin Allison in San Francisco
August 14, 2008
Ex-Apple lawyer agrees to SEC ban
...Thursday after the Securities and Exchange Commission announced it had reached...regulator said Nancy Heinen, one of two former...agreed to pay $2.2m and accept a five-year...backdating can fall foul of securities laws and create accounting problems...charges against Ms Heinen and Fred Anderson... By Kevin Allison in San Francisco
April 25, 2007
SEC probe may dog Jobs but he looks safe, for now
...them. These periodic officialfilings and subtle changes of wording, along...financial officer, came as Nancy Heinen, Apple's former general counsel...with fraud charges in the case. Ms Heinen has vowed to fight the charges. The...Michael Piazza, a former SEC lawyer and a partner in the white-collar practice...intents and purposes I read this as the commission has [decided not to go after him]," Mr Piazza said. The Securities and Exchange Commission yesterday praised Apple... By Kevin Allison and Richard Waters in San Francisco
January 12, 2007
Apple options tangle a priority for US
...from the stock options scandal. The Securities and Exchange Commission has empowered its enforcement division...Steve Jobs, Apple’s co-founder and chief executive. The fall reflected...and former officers or employees. Securities investigations typically take months...a former board member, and Nancy Heinen, Apple’s former general counsel... By Kevin Allison in San Francisco and Brooke Masters in New York