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Results: 1-10 of 2,154

This week in securities litigation (week ending September 19, 2014)

  • Dorsey & Whitney LLP
  • -
  • Australia, Hong Kong, United Kingdom, USA
  • -
  • September 19 2014

The Commission continued with broken windows this week. Twenty Rule 105 short selling cases were filed in a group. Last week another group of broken

The SEC in the office fails to deter insider trader

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • September 17 2014

The theory of "broken windows," the enforcement approach being pursued by the SEC, is that prosecuting all violations large and small creates

The origins of the FCPA: lessons for effective compliance and enforcement part three

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • September 16 2014

The foreign payments cases held the organization and the individuals involved accountable while improving corporate governance for the benefit of the

Minnesota issues Revenue Notice regarding apportionment of compensation paid to nonresident corporate board members

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • September 15 2014

On August 25, 2014, the Minnesota Department of Revenue released Revenue Notice 14-02, which provides an alternative method of apportioning

The origins of the FCPA: lessons for effective compliance and enforcement: part two

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • September 14 2014

The preliminary inquiry was followed by formal SEC investigations early in 1974. The resulting cases would become known as the “illicit or foreign

This week in securities litigation (week ending September 12, 2014)

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • September 12 2014

The SEC continued with its “broken windows” approach to enforcement this week, filing a group of 34 actions based on the failure to file either a

European Union sanctions against Russia - September 2014 - expansion of sanctions

  • Dorsey & Whitney LLP
  • -
  • European Union, Russia, USA
  • -
  • September 12 2014

As NATO and the EU seeks to increase pressure on Russia and the Crimea, the EU expanded its sanctions against Russia on 12 September. This is the

The SEC continues “Broken Windows” is it effective enforcement?

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • September 11 2014

Broken Windows is the enforcement strategy adopted by the SEC as part of its "prosecute every violation big and small" approach in an effort to

The SEC gets serious about late beneficial ownership reporting

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • September 11 2014

On September 10, 2014, the Securities and Exchange Commission ("SEC") announced charges against 28 directors, officers and significant shareholders

SEC USAO file actions based on scheme to conceal ownership

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • September 10 2014

Building on an undercover sting operation, the SEC filed an enforcement action against two individuals and their controlled entity. They are alleged