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SEC continues to take a tough stance on market abuse violations

De Brauw Blackstone Westbroek
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USA
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April 26 2012

The U.S. Securities and Exchange Commission ("SEC") recently reaffirmed its determination to hold those involved in market abuse violations accountable. To illustrate, the following three charges are discussed

Former Cfo Xilinx Inc. charged with insider trading

De Brauw Blackstone Westbroek
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USA
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February 11 2013

The Galleon case has proven to be a major case for the US authorities (as previously reported in our RCE Newsletters April 2012 and July 2012). The

Converium: Dutch court has jurisdiction to declare an international collective settlement of mass claims binding

De Brauw Blackstone Westbroek
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Netherlands, USA
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November 16 2010

On 12 November 2010, the Amsterdam Court of Appeal delivered an important decision regarding an international collective settlement of mass claims using the Shell decision as a precedent

Investment management group

De Brauw Blackstone Westbroek
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Netherlands, USA
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September 28 2010

This is to alert you that the U.S. has recently introduced legislation that may subject non-U.S. investment funds with U.S. investors to stringent U.S. compliance andor reporting requirements

Cyber crime

De Brauw Blackstone Westbroek
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Netherlands, USA
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July 12 2011

In May 2011, a group of U.S. lawmakers called on SEC Chairman Mary Shapiro to issue guidance and apply enforcement in respect of disclosure requirements of listed companies confronted with (material) cyber crime attacks

Converium: Dutch court declares an international collective settlement binding

De Brauw Blackstone Westbroek
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Netherlands, USA
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January 18 2012

On 17 January 2012, the Amsterdam Court of Appeal declared an international collective settlement binding in a case where none of the potentially liable parties and only a limited number of the potential claimants were domiciled in the Netherlands

SEC charges founder of market research firm with insider trading

De Brauw Blackstone Westbroek
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USA
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July 20 2012

The SEC has charged the owner of Insight Research, a consulting firm that analyzes publicly traded companies for hedge fund managers, with insider trading and violating anti-fraud provisions

SEC charges three people in North Carolina with insider trading

De Brauw Blackstone Westbroek
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USA
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November 2 2012

On 20 September 2012, the Securities and Exchange Commission (''SEC'') charged a former senior vice president and board member at insurance company Mercer with illegally providing inside information about an impending merger

SEC freezes assets of insider trader in Burger King stock

De Brauw Blackstone Westbroek
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USA
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November 2 2012

The SEC obtained leave to freeze assets on 20 September 2012 to prevent a stockbroker from transferring his assets outside U.S. jurisdiction. From 17 May 2010 to 1 September 2010, the stockbroker allegedly used non-public information from a customer and engaged in insider trading ahead of Burger King’s announcement that it was being acquired by a New York private equity firm