We use cookies to customise content for your subscription and for analytics.
If you continue to browse Lexology, we will assume that you are happy to receive all our cookies. For further information please read our Cookie Policy.
In cooperation with Association of Corporate Counsel
  Request new password

Search results

Order by most recent / most popular / relevance

Results: 1-10 of 14

PCAOB proposes important changes to audit reports

  • Jones Day
  • -
  • USA
  • -
  • September 5 2013

The Public Company Accounting Oversight Board ("PCAOB") recently proposed new auditing standards that, if adopted, would substantially expand the

Outside directors fail to heed red flags and wind up in SEC hurricane

  • Jones Day
  • -
  • USA
  • -
  • March 9 2011

The SEC recently sued three former outside directors of DHB Industries, alleging that the three were "willfully blind" to the company's fraudulent accounting practices

SEC charges hedge fund manager and bond salesman in first insider trading case involving credit default swaps

  • Jones Day
  • -
  • USA
  • -
  • May 28 2009

On May 5, 2009, the U.S. Securities and Exchange Commission ("SEC") brought an action in the U.S. District Court for the Southern District of New York alleging the "the first insider trading enforcement action involving credit default swaps."

The SEC's first deferred prosecution agreement involving an individual: questions remain

  • Jones Day
  • -
  • USA
  • -
  • January 29 2014

With much fanfare three years ago, the Securities and Exchange Commission ("SEC") announced a Cooperation Initiative as part of an overall effort to

SEC action against Office Depot highlights Regulation FD prohibition on "indirect guidance"

  • Jones Day
  • -
  • USA
  • -
  • November 11 2010

In the third Regulation FD enforcement action in the last 13 months, on October 21, 2010, the Securities and Exchange Commission brought enforcement actions against Office Depot, Inc. ("Office Depot") and its now former CEO and CFO

Government's annual certification claims under the FCA take a hit in federal court in California in a case involving individual liability

  • Jones Day
  • -
  • USA
  • -
  • November 8 2013

In a decision dated November 5, 2013, United States v. Reunion Mortgage, Inc., David Thayer and Kent Harvey, Case No. 13-02340 SBA (N.D. Ca.), a

Chinese companies trading in U.S. face increased scrutiny by SEC, Congress, and private plaintiffs

  • Jones Day
  • -
  • China, USA
  • -
  • January 20 2011

Several Chinese companies brought onto public United States stock markets through reverse mergers with existing U.S. issuers have been the focus of recent investigations, enforcement actions, and private civil litigation

The New York State Department of Financial Services: leading the charge to regulate Bitcoin

  • Jones Day
  • -
  • USA
  • -
  • September 30 2013

As we have previously written, the New York Department of Financial Services ("DFS") is emerging as an aggressive regulator of financial

FASB deliberations return to litigation contingency disclosures

  • Jones Day
  • -
  • USA
  • -
  • June 7 2010

The Financial Accounting Standards Board (the "Board") has returned to public deliberations on the sensitive subject of disclosures for litigation loss contingencies under Financial Accounting Standard ("FAS") 5

The future of admitting when settling SEC enforcement actions: some initial considerations

  • Jones Day
  • -
  • USA
  • -
  • June 24 2013

Whether the Securities and Exchange Commission ("SEC") should continue its longstanding policy of permitting enforcement action defendants to settle