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This week in securities litigation (week ending August 28, 2014)

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • August 28 2014

In the roll-up to the Labor Day weekend, the SEC issued new rules regarding asset backed securities and credit rating agencies. The Commission also

SEC USAO charge IR Executive with insider trading

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • August 27 2014

The SEC may be developing theme based insider trading cases. In recent weeks the agency brought two insider trading actions centered on golfing

Anti-corruption campaign in Chinacauses of corruption, and hope?

  • Dorsey & Whitney LLP
  • -
  • China
  • -
  • August 25 2014

Corruption in the People’s Republic of China presents a major administrative and financial burden on businesses operating in China and creates an

SEC files financial fraud action

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • August 24 2014

Financial fraud is an enforcement priority of the SEC. A financial fraud task force was formed in July 2013. Its purpose is to focus on this

Anti-corruption digest - August 2014

  • Dorsey & Whitney LLP
  • -
  • Global
  • -
  • August 22 2014

Joel Esquenazi and Carlos Rodriguez, whose convictions for FCPA and other violations were affirmed by the 11th Circuit in May 2014, have filed a

This week in securities litigation (week ending August 22, 2014)

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • August 21 2014

The Second Circuit upheld SEC Rule 10b-5-2 which defines certain types of relationships as the predicate for insider trading. In reaching its

SEC brings an offering fraud action against a claimed app maker

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • August 19 2014

The SEC brought an action against a reputed "app" manufacturer who sold shares in two different entities beginning first in Colorado and later from

SEC brings another insider trading case tied to golf

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • August 18 2014

Golf is becoming a recurring theme in insider trading cases. Last month the SEC brought an insider trading action against a group of golf friends

Third Circuit rejects claim that fiduciary duty required for insider trading

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

Insider trading cases frequently turn on the nature of the relationship between the trader and the person who is the source of information. The

SEC files two investment fraud actions

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • August 6 2014

The SEC brought two investment fraud actions. One centered on defendant Thomas J. Lawler, known as the Reverend Tom, and the sale of administrative