We use cookies to customise content for your subscription and for analytics.
If you continue to browse Lexology, we will assume that you are happy to receive all our cookies. For further information please read our Cookie Policy.
In cooperation with Association of Corporate Counsel
  Request new password

Search results

Order by most recent / most popular / relevance

Results: 1-10 of 40

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

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

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

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

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

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

SEC adopts amended rules on cross-border tender offers, business combinations and rights offerings

  • Herbert Smith Freehills LLP
  • -
  • USA
  • -
  • October 14 2008

On 19 September 2008, the U.S. Securities and Exchange Commission (the "SEC") released final rules relating to a significant revision of its regulation of cross-border business combination transactions

SEC acts to curb short selling abuses

  • Herbert Smith Freehills LLP
  • -
  • USA
  • -
  • September 24 2008

Over the past week the US Securities and Exchange Commission (the "SEC"), responding to "sudden and unexplained declines in the prices of securities" and the danger to the broader market of "a crisis of confidence without a fundamental underlying basis," adopted a series of temporary and permanent measures designed to curb "naked" short selling and restore confidence in the nation's financial institutions

FCPA enforcement cases

  • Herbert Smith Freehills LLP
  • -
  • USA
  • -
  • October 10 2012

The SEC has charged Tyco International Ltd with violating the Foreign Corrupt Practices Act by allowing subsidiaries to arrange illicit payments to foreign officials in more than a dozen countries