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Results: 1-10 of 44

The JOBS Act and its impact on foreign private issuers

  • Herbert Smith Freehills LLP
  • -
  • USA
  • -
  • May 19 2012

On 5 April 2012, President Obama signed the Jumpstart Our Business Startups Act (the “JOBS Act“

Morrison v National Australia Bank

  • Herbert Smith Freehills LLP
  • -
  • United Kingdom, USA
  • -
  • July 1 2010

In a decision of great significance to non-US issuers and their shareholders, the US Supreme Court has clarified and restricted the extra-territorial application of the anti-fraud provisions of US federal securities laws

US Supreme Court restricts the extra-territorial reach of the SEC Act

  • Herbert Smith Freehills LLP
  • -
  • Australia, USA
  • -
  • August 4 2010

On 24 June 2010, the Supreme Court of the United States handed down a decision of wide-reaching importance in Morrison v National Australia Bank

SEC adopts final rules to the Investment Advisers Act of 1940 implementing provisions of the Dodd-Frank Act

  • Herbert Smith Freehills LLP
  • -
  • USA
  • -
  • September 22 2011

On 22 June 2011, the Securities and Exchange Commission ("SEC") adopted final rules and rule amendments under the Investment Advisers Act of 1940, as amended, (the "Advisers Act") implementing certain provisions of Title IV of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the "Dodd Frank Act"

SEC charges attorney in insider trading scheme

  • Herbert Smith Freehills LLP
  • -
  • USA
  • -
  • January 6 2010

The Securities and Exchange Commission (SEC) has charged lawyer, Brien. P. Santarlas for disclosing non-public information about a proposed corporate acquisition relating to one of the firm's clients in exchange for kickbacks

Market abuseinsider dealingFSA enforcement

  • Herbert Smith Freehills LLP
  • -
  • United Kingdom, USA
  • -
  • May 4 2012

The SEC has secured a substantial settlement from three men involved in an insider trading case brought against a corporate lawyer, a middle man and a Wall Street trader

Amendments to the rules for nationally recognized statistical rating organizations (NRSROs)

  • Herbert Smith Freehills LLP
  • -
  • USA
  • -
  • April 1 2009

The U.S. Credit Rating Agency Reform Act of September 2006 (the "Rating Agency Act") was passed by Congress to protect investors by improving the quality of credit ratings through increased transparency, accountability, and competition in the credit ratings industry

Fraud, bribery and corruption

  • Herbert Smith Freehills LLP
  • -
  • United Kingdom, USA
  • -
  • May 4 2012

David Green CB QC has started his role as the new Director of the SFO

Corporate crime update - May 2013 - United States

  • Herbert Smith Freehills LLP
  • -
  • USA
  • -
  • May 23 2013

Bryan Shaw, a Californian jeweller, has pleaded guilty to one count of conspiracy to commit securities fraud. Shaw has admitted taking tips on

A substantial likelihood that SEC policy of “no admission” settlements will continue

  • Herbert Smith Freehills LLP
  • -
  • USA
  • -
  • March 16 2012

In a preliminary opinion handed down yesterday, the US Court of Appeals (2nd Circuit) granted the SEC’s application for a stay of district court proceedings, pending resolution of interlocutory appeals andor its petition for mandamus