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Results: 1-10 of 1,021

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

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

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

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

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • September 9 2014

Can one man make a difference? Stanley Sporkin is proof that the answer is “yes.” In the early 1970s he sat fixated by the Watergate Congressional

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